organization · Reporting owner
Vivo Capital Fund VIII, L.P.
Disclosed activity across 8 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aligos Therapeutics, Inc.ALGS · Entity 7352 | 10% owner | October 20, 2020 | October 20, 2020 |
| Kadmon Holdings, Inc.KDMN · Entity 133686 | 10% owner | January 07, 2019 | January 08, 2019 |
| Timber Pharmaceuticals, Inc.BPMX · Entity 110330 | 10% owner | April 28, 2017 | May 01, 2017 |
| Yarrow Bioscience, Inc.MNLO · Entity 6871 | 10% owner | January 25, 2018 | January 29, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aligos Therapeutics, Inc.
Report date October 20, 2020 · Filed October 20, 2020
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectVivo Capital Fund VIII, L.P. | 3,116,658 |
Last balance in matching sequence
After 2020-10-20 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2020-10-20 · Conversion · Acquired 1,885,611 · Balance 1,885,611 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 2 · 2020-10-20 · Conversion · Acquired 523,726 · Balance 2,409,337 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2020-10-20 · Conversion · Acquired 224,054 · Balance 2,633,391 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 7 · 2020-10-20 · Purchase · Acquired 483,267 · Balance 3,116,658 F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectVivo Capital Surplus Fund VIII, L.P. | 430,372 |
Last balance in matching sequence
After 2020-10-20 transaction · row 8
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 4 · 2020-10-20 · Conversion · Acquired 260,380 · Balance 260,380 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2020-10-20 · Conversion · Acquired 72,320 · Balance 332,700 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2020-10-20 · Conversion · Acquired 30,939 · Balance 363,639 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 8 · 2020-10-20 · Purchase · Acquired 66,733 · Balance 430,372 F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2020-10-20 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-10-20 · Conversion · Disposed 1,885,611 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2020-10-20 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-10-20 · Conversion · Disposed 260,380 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2020-10-20 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-10-20 · Conversion · Disposed 523,726 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2020-10-20 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-10-20 · Conversion · Disposed 72,320 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B-2 Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2020-10-20 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2020-10-20 · Conversion · Disposed 224,054 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B-2 Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2020-10-20 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2020-10-20 · Conversion · Disposed 30,939 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date.
F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Kadmon Holdings, Inc.
Report date January 07, 2019 · Filed January 08, 2019
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity, LLC, Vivo Opportunity Fund, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Fund VIII, L.P. | 3,195,151 |
Reported balance
Holding disclosure · report date 2019-01-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,195,151 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | 441,212 |
Reported balance
Holding disclosure · report date 2019-01-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 441,212 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Opportunity Fund, L.P. | 8,970,242 |
Reported balance
Holding disclosure · report date 2019-01-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 8,970,242 F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28 | IndirectBy Vivo Capital Fund VIII, L.P. | Not disclosed |
Reported balance
Holding disclosure · report date 2019-01-07 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28 | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | Not disclosed |
Reported balance
Holding disclosure · report date 2019-01-07 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise.
Timber Pharmaceuticals, Inc.
Report date April 28, 2017 · Filed May 01, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 14,096,338 |
Reported balance
After 2017-04-28 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-04-28 · Purchase · Acquired 1,282,052 · Balance 14,096,338 F1: These shares are owned directly by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these shares. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such shares. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2022-10-28 | IndirectSee Footnote | 641,026 |
Reported balance
After 2017-04-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-04-28 · Purchase · Acquired 641,026 · Balance 641,026 F3: These warrants are granted to Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these warrants. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such warrants. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these warrants and each of whom disclaims beneficial ownership of such warrants except to the extent of his pecuniary interest therein. F2: These warrants will be exercisable at any time on or after October 28, 2017, provided that the warrant holder(s) will be prohibited from exercising this warrant, if after giving effect to such exercise, the holder(s) (together with such holder(s)'s affiliates and any other persons acting as a group together) would beneficially own in excess of 19.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. These warrants will expire on October 28, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned directly by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these shares. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such shares. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F2: These warrants will be exercisable at any time on or after October 28, 2017, provided that the warrant holder(s) will be prohibited from exercising this warrant, if after giving effect to such exercise, the holder(s) (together with such holder(s)'s affiliates and any other persons acting as a group together) would beneficially own in excess of 19.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. These warrants will expire on October 28, 2022.
F3: These warrants are granted to Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these warrants. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such warrants. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these warrants and each of whom disclaims beneficial ownership of such warrants except to the extent of his pecuniary interest therein.
Yarrow Bioscience, Inc.
Report date January 25, 2018 · Filed January 29, 2018
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Fund VIII, L.P. | 3,524,541 |
Last balance in matching sequence
After 2018-01-29 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-01-25 · Purchase · Acquired 258,432 · Balance 258,432 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2018-01-29 · Conversion · Acquired 2,348,550 · Balance 2,606,982 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2018-01-29 · Conversion · Acquired 917,559 · Balance 3,524,541 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Surplus Fund III, L.P. | 486,695 |
Last balance in matching sequence
After 2018-01-29 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 2 · 2018-01-25 · Purchase · Acquired 35,686 · Balance 35,686 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2018-01-29 · Conversion · Acquired 324,306 · Balance 359,992 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2018-01-29 · Conversion · Acquired 126,703 · Balance 486,695 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-01-29 · Conversion · Disposed 6,335,215 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Surplus Fund III, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-01-29 · Conversion · Disposed 874,817 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-01-29 · Conversion · Disposed 2,475,118 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Surplus Fund III, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-01-29 · Conversion · Disposed 341,784 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Bolt Biotherapeutics, Inc.
Report date November 21, 2023 · Filed November 22, 2023
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity, LLC, Vivo Opportunity Fund Holdings, L.P., Vivo Panda, LLC, Vivo Panda Fund, L.P.
Section 16 reporting ended · disclosed 2023-11-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Capital Fund VIII, L.P. | 1,952,302 |
Reported balance
After 2023-11-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-11-21 · Sale · Disposed 1,707 · Balance 1,952,302 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Capital Surplus Fund VIII, L.P. | 269,587 |
Reported balance
After 2023-11-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-11-21 · Sale · Disposed 236 · Balance 269,587 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Opportunity Fund Holdings, L.P. | 111,662 |
Reported balance
After 2023-11-21 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-11-21 · Sale · Disposed 1,457 · Balance 111,662 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F3: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Panda Fund, L.P. | 1,448,286 |
Reported balance
Holding disclosure · report date 2023-11-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,448,286 |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.
Crinetics Pharmaceuticals, Inc.
Report date April 15, 2020 · Filed April 17, 2020
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.
Section 16 reporting ended · disclosed 2020-04-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,263,447 |
Reported balance
After 2020-04-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-04-15 · Sale · Disposed 189,625 · Balance 2,263,447 F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.4 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 312,553 |
Reported balance
After 2020-04-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-04-15 · Sale · Disposed 26,185 · Balance 312,553 F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.4 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,236,920 |
Reported balance
After 2020-04-16 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-04-16 · Sale · Disposed 26,527 · Balance 2,236,920 F5: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.0 to $15.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 308,890 |
Reported balance
After 2020-04-16 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-04-16 · Sale · Disposed 3,663 · Balance 308,890 F5: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.0 to $15.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,162,587 |
Reported balance
After 2020-04-17 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2020-04-17 · Sale · Disposed 74,333 · Balance 2,162,587 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.3 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 298,625 |
Reported balance
After 2020-04-17 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2020-04-17 · Sale · Disposed 10,265 · Balance 298,625 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.3 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF").
F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF").
F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.4 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.
F5: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.0 to $15.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4.
F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.3 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4.
IPI Legacy Liquidation Co
Report date December 15, 2023 · Filed December 19, 2023
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.
Section 16 reporting ended · disclosed 2023-12-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Capital Fund VIII, L.P. | 2,029,495 |
Last balance in matching sequence
After 2023-12-19 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2023-12-15 · Sale · Disposed 87,934 · Balance 2,447,181 F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2023-12-18 · Sale · Disposed 209,029 · Balance 2,238,152 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2023-12-19 · Sale · Disposed 208,657 · Balance 2,029,495 F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Capital Surplus Fund VIII, L.P. | 280,294 |
Last balance in matching sequence
After 2023-12-19 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 2 · 2023-12-15 · Sale · Disposed 12,066 · Balance 337,608 F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2023-12-18 · Sale · Disposed 28,682 · Balance 308,926 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2023-12-19 · Sale · Disposed 28,632 · Balance 280,294 F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4.
F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.
F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.
Terns Pharmaceuticals, Inc.
Report date April 01, 2024 · Filed April 04, 2024
Jointly reported with Vivo Opportunity, LLC, Vivo Opportunity Fund Holdings, L.P., Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.
Section 16 reporting ended · disclosed 2024-04-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Opportunity Fund Holdings, L.P. | 4,023,741 |
Last balance in matching sequence
After 2024-04-03 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2024-04-01 · Sale · Disposed 136,255 · Balance 4,203,957 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2024-04-02 · Sale · Disposed 76,346 · Balance 4,127,611 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 7 · 2024-04-03 · Sale · Disposed 103,870 · Balance 4,023,741 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Capital Fund VIII, L.P. | 1,945,015 |
Last balance in matching sequence
After 2024-04-03 transaction · row 8
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 2 · 2024-04-01 · Sale · Disposed 39,411 · Balance 1,997,146 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2024-04-02 · Sale · Disposed 22,084 · Balance 1,975,062 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 8 · 2024-04-03 · Sale · Disposed 30,047 · Balance 1,945,015 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Capital Surplus Fund VIII, L.P. | 268,573 |
Last balance in matching sequence
After 2024-04-03 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 3 · 2024-04-01 · Sale · Disposed 5,451 · Balance 275,772 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2024-04-02 · Sale · Disposed 3,050 · Balance 272,722 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 9 · 2024-04-03 · Sale · Disposed 4,149 · Balance 268,573 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023.
F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.
F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.
F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 03, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 4,149 | $6.20 | $25,723.80 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 9 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 268,573 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F3 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 03, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 30,047 | $6.20 | $186,291.40 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 8 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,945,015 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 03, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 103,870 | $6.20 | $643,994.00 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 7 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 4,023,741 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 02, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 3,050 | $6.65 | $20,282.50 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 272,722 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F3 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 02, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 22,084 | $6.65 | $146,858.60 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,975,062 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 02, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 76,346 | $6.65 | $507,700.90 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 4,127,611 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 01, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 5,451 | $6.99 | $38,102.49 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 275,772 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F3 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 01, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 39,411 | $6.99 | $275,482.89 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,997,146 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 01, 2024 Filed Apr 4, 2024 00:47 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | SaleCommon Stock | 136,255 | $6.99 | $952,422.45 |
DisclosureSEC source: 0001213900-24-030020 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Plan reported Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 4,203,957 F4 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 19, 2023 Filed Dec 19, 2023 18:00 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | SaleCommon Stock | 28,632 | $0.08 | $2,290.56 |
DisclosureSEC source: 0001213900-23-097043 · ownership.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 280,294 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 19, 2023 Filed Dec 19, 2023 18:00 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | SaleCommon Stock | 208,657 | $0.08 | $16,692.56 |
DisclosureSEC source: 0001213900-23-097043 · ownership.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 2,029,495 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 18, 2023 Filed Dec 19, 2023 18:00 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | SaleCommon Stock | 28,682 | $0.11 | $3,155.02 |
DisclosureSEC source: 0001213900-23-097043 · ownership.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 308,926 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 18, 2023 Filed Dec 19, 2023 18:00 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | SaleCommon Stock | 209,029 | $0.11 | $22,993.19 |
DisclosureSEC source: 0001213900-23-097043 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 2,238,152 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 15, 2023 Filed Dec 19, 2023 18:00 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | SaleCommon Stock | 12,066 | $0.29 | $3,499.14 |
DisclosureSEC source: 0001213900-23-097043 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 337,608 F3 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 15, 2023 Filed Dec 19, 2023 18:00 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | SaleCommon Stock | 87,934 | $0.29 | $25,500.86 |
DisclosureSEC source: 0001213900-23-097043 · ownership.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 2,447,181 F3 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 21, 2023 Filed Nov 22, 2023 23:51 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 1,457 | $0.90 | $1,311.30 |
DisclosureSEC source: 0001213900-23-089692 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 111,662 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F3 · ownership.nature: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 21, 2023 Filed Nov 22, 2023 23:51 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 236 | $0.90 | $212.40 |
DisclosureSEC source: 0001213900-23-089692 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 269,587 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 21, 2023 Filed Nov 22, 2023 23:51 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 1,707 | $0.90 | $1,536.30 |
DisclosureSEC source: 0001213900-23-089692 · ownership.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,952,302 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 20, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 23,443 | $0.92 | $21,567.56 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 113,119 F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.92 to $0.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F3 · ownership.nature: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 20, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 3,792 | $0.92 | $3,488.64 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 269,823 F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.92 to $0.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 20, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 27,465 | $0.92 | $25,267.80 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,954,009 F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.92 to $0.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 17, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 7,009 | $0.93 | $6,518.37 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 136,562 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.93 to $0.95, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F3 · ownership.nature: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 17, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 1,134 | $0.93 | $1,054.62 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 273,615 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.93 to $0.95, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 17, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleComon Stock | 8,211 | $0.93 | $7,636.23 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,981,474 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.93 to $0.95, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 16, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 6,429 | $0.96 | $6,171.84 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 143,571 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.95 to $0.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4 F3 · ownership.nature: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 16, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 1,040 | $0.96 | $998.40 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 274,749 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.95 to $0.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4 F2 · ownership.nature: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 16, 2023 Filed Nov 21, 2023 02:09 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 7,531 | $0.96 | $7,229.76 |
DisclosureSEC source: 0001213900-23-088909 · ownership.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,989,685 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.95 to $0.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4 F1 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 23, 2022 Filed Dec 23, 2022 22:48 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 758,620 | $7.25 | $5,499,995.00 |
DisclosureSEC source: 0001213900-22-082664 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 4,340,212 F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 07, 2022 Filed Sep 9, 2022 00:00 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 600,000 | $3.60 | $2,160,000.00 |
DisclosureSEC source: 0001213900-22-054888 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 3,581,592 F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 00:44 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchasePre-funded Warrants (right to buy) · Derivative | 1,500,000 | $2.42 Strike: $0.00 | $3,629,850.00 |
DisclosureSEC source: 0001213900-22-048763 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 1,500,000 Underlying: Common Stock · 1,500,000 shares Expires not disclosed F4 · kind: The reporting person acquired 1,500,000 shares of Common Stock at $2.42 per share and 1,500,000 pre-funded warrants at $2.41990 per warrant in an underwritten offering. F5 · derivative.exercise_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 4.99% of the outstanding shares of Common Stock of the Issuer. F5 · derivative.expiration_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 4.99% of the outstanding shares of Common Stock of the Issuer. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 00:44 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 1,500,000 | $2.42 | $3,630,000.00 |
DisclosureSEC source: 0001213900-22-048763 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 2,981,592 F4 · kind: The reporting person acquired 1,500,000 shares of Common Stock at $2.42 per share and 1,500,000 pre-funded warrants at $2.41990 per warrant in an underwritten offering. F4 · price: The reporting person acquired 1,500,000 shares of Common Stock at $2.42 per share and 1,500,000 pre-funded warrants at $2.41990 per warrant in an underwritten offering. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 00:44 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 1,218 | $2.99 | $3,641.82 |
DisclosureSEC source: 0001213900-22-048763 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 1,481,592 F3 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $2.96 to $3.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 12, 2022 Filed Aug 17, 2022 00:44 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 1,123,021 | $2.98 | $3,346,602.58 |
DisclosureSEC source: 0001213900-22-048763 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 1,480,374 F2 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $2.83 to $3.02, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (2) to this Form 4. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | Conversion5% Convertible Note due 2021 · Derivative | Not disclosed | $0.00 Strike: $13.50 | $165,013.49 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 22 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 12,311 shares Expires 2021-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest is automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at $13.50 per share (90% of the IPO price). F2 · derivative.exercise_date: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest is automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at $13.50 per share (90% of the IPO price). F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | Conversion5% Convertible Note due 2021 · Derivative | Not disclosed | $0.00 Strike: $13.50 | $1,194,785.75 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 21 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 89,145 shares Expires 2021-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest is automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at $13.50 per share (90% of the IPO price). F2 · derivative.exercise_date: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest is automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at $13.50 per share (90% of the IPO price). F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries D Redeemable Convertible Preferred Stock · Derivative | 713,064 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 20 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 43,550 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries D Redeemable Convertible Preferred Stock · Derivative | 5,162,969 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 19 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 315,328 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-3 Redeemable Convertible Preferred Stock · Derivative | 995,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 18 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 60,813 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-3 Redeemable Convertible Preferred Stock · Derivative | 7,206,216 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 17 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 440,119 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative | 1,073,308 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 16 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 65,552 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative | 7,772,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 15 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 474,713 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-1 Redeemable Convertible Preferred Stock · Derivative | 1,605,711 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 14 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 98,068 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-1 Redeemable Convertible Preferred Stock · Derivative | 11,628,174 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · derivative · entry 13 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 710,190 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.exercise_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F1 · derivative.expiration_date: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | PurchaseCommon Stock | 69,380 | $15.00 | $1,040,700.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 12 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 349,674 F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | PurchaseCommon Stock | 505,620 | $15.00 | $7,584,300.00 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 11 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,535,115 F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 12,311 | $13.50 | $166,198.50 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 10 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 280,294 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest is automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at $13.50 per share (90% of the IPO price). F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 89,145 | $13.50 | $1,203,457.50 |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,029,495 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest is automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at $13.50 per share (90% of the IPO price). F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 43,550 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 267,983 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 315,328 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,940,350 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:10 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 60,813 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 224,433 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.