TapewireFind a company

organization · Reporting owner

Vivo Capital Fund VIII, L.P.

Disclosed activity across 8 companies

Tapewire entity
92275
SEC CIK
0001618788

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Aligos Therapeutics, Inc.ALGS · Entity 735210% ownerOctober 20, 2020October 20, 2020
Kadmon Holdings, Inc.KDMN · Entity 13368610% ownerJanuary 07, 2019January 08, 2019
Timber Pharmaceuticals, Inc.BPMX · Entity 11033010% ownerApril 28, 2017May 01, 2017
Yarrow Bioscience, Inc.MNLO · Entity 687110% ownerJanuary 25, 2018January 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectVivo 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 rows

Row 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-derivativeIndirectVivo 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 rows

Row 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 securityIndirectVivo 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 row

Row 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 securityIndirectVivo 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 row

Row 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 securityIndirectVivo 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 row

Row 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 securityIndirectVivo 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 row

Row 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 securityIndirectVivo 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 row

Row 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 securityIndirectVivo 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 row

Row 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.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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 2022-09-28IndirectBy 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 row

Row 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 2022-09-28IndirectBy 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 row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote14,096,338 Reported balance After 2017-04-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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 2022-10-28IndirectSee Footnote641,026 Reported balance After 2017-04-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 rows

Row 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-derivativeIndirectBy 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 rows

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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.

Section 16 reporting ended · disclosed 2023-11-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy: 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 row

Row 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-derivativeIndirectBy: 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 row

Row 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-derivativeIndirectBy: 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 row

Row 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-derivativeIndirectBy: 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 row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes2,263,447 Reported balance After 2020-04-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes312,553 Reported balance After 2020-04-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes2,236,920 Reported balance After 2020-04-16 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes308,890 Reported balance After 2020-04-16 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes2,162,587 Reported balance After 2020-04-17 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnotes298,625 Reported balance After 2020-04-17 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy: 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 rows

Row 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-derivativeIndirectBy: 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 rows

Row 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.

Section 16 reporting ended · disclosed 2024-04-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 rows

Row 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-derivativeIndirectBy: 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 rows

Row 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-derivativeIndirectBy: 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 rows

Row 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 API
Reset

Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.