person · Reporting owner
New Leaf Biopharma Opportunities II, L.P.
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Harpoon Therapeutics, Inc.
Report date March 11, 2024 · Filed March 11, 2024
Jointly reported with New Leaf Ventures III, L.P., New Leaf Venture Associates III, L.P., New Leaf Venture Management III, L.L.C., New Leaf BPO Associates II, L.P., New Leaf BPO Management II, L.L.C, Lathi Vijay K
Section 16 reporting ended · disclosed 2024-03-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-03-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-03-11 · Disposition to issuer · Disposed 1,463,386 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). F3: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F4: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-03-11 · Disposition to issuer · Disposed 395,783 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). F5: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| 8.000% Series A Redeemable Preferred StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-03-11 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2024-03-11 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F7: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of the Issuer's Series A Redeemable Preferred Stock, par value of $0.0001 per share ("Series A Preferred Stock") issued and outstanding was cancelled and the holder thereof was entitled to receive $3,577.77 per share of Series A Preferred Stock in respect of each Series A Preferred Stock determined in accordance with the terms of the Series A Preferred Stock, subject to applicable withholding taxes. F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). |
| Common Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.79 · Expires 2031-03-23 | Direct | 0 |
Reported balance
After 2024-03-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-03-11 · Disposition to issuer · Disposed 299,430 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F8: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). |
| Common Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.83 · Expires 2026-10-25 | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-03-11 · Disposition to issuer · Disposed 686,000 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F8: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F5: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.83 · Expires 2026-10-25 | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-03-11 · Disposition to issuer · Disposed 85,750 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F8: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F5: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").
F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration").
F3: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F4: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F5: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F6: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F7: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of the Issuer's Series A Redeemable Preferred Stock, par value of $0.0001 per share ("Series A Preferred Stock") issued and outstanding was cancelled and the holder thereof was entitled to receive $3,577.77 per share of Series A Preferred Stock in respect of each Series A Preferred Stock determined in accordance with the terms of the Series A Preferred Stock, subject to applicable withholding taxes.
F8: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time.
Principia Biopharma Inc.
Report date August 13, 2019 · Filed August 15, 2019
Jointly reported with New Leaf Ventures II, L.P., New Leaf Venture Associates II, L.P., New Leaf Venture Management II, L.L.C., New Leaf BPO Associates II, L.P., New Leaf BPO Management II, L.L.C
Section 16 reporting ended · disclosed 2019-08-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,938,167 |
Reported balance
After 2019-08-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-08-13 · Sale · Disposed 250,009 · Balance 1,938,167 F1: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt and Vijay K. Lathi, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F2: Each of the NLV-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 387,546 |
Reported balance
After 2019-08-13 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-08-13 · Sale · Disposed 49,991 · Balance 387,546 F3: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4: Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt and Vijay K. Lathi, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities.
F2: Each of the NLV-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F3: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities.
F4: Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 11, 2024 Filed Mar 11, 2024 17:28 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | Disposition to issuerCommon Stock Warrant (Right to Buy) · Derivative | 85,750 | Not disclosed Strike: $5.83 | Not disclosed |
DisclosureSEC source: 0000950170-24-029449 · ownership.xml · derivative · entry 6 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · Director · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · Director · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · Director · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · Director · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · Director · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · Director · 10% owner Lathi Vijay K · CIK 0001340806 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 85,750 shares Expires 2026-10-25 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F8 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F5 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| March 11, 2024 Filed Mar 11, 2024 17:28 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | Disposition to issuerCommon Stock Warrant (Right to Buy) · Derivative | 686,000 | Not disclosed Strike: $5.83 | Not disclosed |
DisclosureSEC source: 0000950170-24-029449 · ownership.xml · derivative · entry 5 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · Director · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · Director · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · Director · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · Director · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · Director · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · Director · 10% owner Lathi Vijay K · CIK 0001340806 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 686,000 shares Expires 2026-10-25 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F8 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F5 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| March 11, 2024 Filed Mar 11, 2024 17:28 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | Disposition to issuerCommon Stock Warrant (Right to Buy) · Derivative | 299,430 | Not disclosed Strike: $9.79 | Not disclosed |
DisclosureSEC source: 0000950170-24-029449 · ownership.xml · derivative · entry 4 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · Director · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · Director · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · Director · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · Director · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · Director · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · Director · 10% owner Lathi Vijay K · CIK 0001340806 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 299,430 shares Expires 2031-03-23 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F8 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F1 · ownership.direct: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F2 · ownership.direct: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). Read SEC document |
| March 11, 2024 Filed Mar 11, 2024 17:28 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | Disposition to issuer8.000% Series A Redeemable Preferred Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-029449 · ownership.xml · nonDerivative · entry 3 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · Director · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · Director · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · Director · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · Director · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · Director · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · Director · 10% owner Lathi Vijay K · CIK 0001340806 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F7 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of the Issuer's Series A Redeemable Preferred Stock, par value of $0.0001 per share ("Series A Preferred Stock") issued and outstanding was cancelled and the holder thereof was entitled to receive $3,577.77 per share of Series A Preferred Stock in respect of each Series A Preferred Stock determined in accordance with the terms of the Series A Preferred Stock, subject to applicable withholding taxes. F1 · acquired: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F1 · ownership.direct: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F2 · ownership.direct: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). Read SEC document |
| March 11, 2024 Filed Mar 11, 2024 17:28 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | Disposition to issuerCommon Stock | 395,783 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-029449 · ownership.xml · nonDerivative · entry 2 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · Director · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · Director · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · Director · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · Director · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · Director · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · Director · 10% owner Lathi Vijay K · CIK 0001340806 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F2 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). F1 · acquired: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F5 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| March 11, 2024 Filed Mar 11, 2024 17:28 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | Disposition to issuerCommon Stock | 1,463,386 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-029449 · ownership.xml · nonDerivative · entry 1 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · Director · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · Director · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · Director · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · Director · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · Director · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · Director · 10% owner Lathi Vijay K · CIK 0001340806 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F2 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). F1 · acquired: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F3 · ownership.direct: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F4 · ownership.direct: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 25, 2023 Filed Oct 27, 2023 16:41 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | PurchaseCommon Stock Warrant (Right to Buy) · Derivative | 85,750 | Not disclosed Strike: $5.83 | Not disclosed |
DisclosureSEC source: 0000899243-23-020044 · doc4.xml · derivative · entry 5 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 10% owner Lathi Vijay K · CIK 0001340806 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 85,750 Underlying: Common Stock · 85,750 shares Expires 2026-10-25 F8 · derivative.exercise_price: The exercise price is also subject to adjustment pursuant to the Common Stock Warrant issued on October 25, 2023. F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. F5 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 25, 2023 Filed Oct 27, 2023 16:41 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | PurchaseCommon Stock Warrant (Right to Buy) · Derivative | 686,000 | Not disclosed Strike: $5.83 | Not disclosed |
DisclosureSEC source: 0000899243-23-020044 · doc4.xml · derivative · entry 4 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 10% owner Lathi Vijay K · CIK 0001340806 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 686,000 Underlying: Common Stock · 686,000 shares Expires 2026-10-25 F8 · derivative.exercise_price: The exercise price is also subject to adjustment pursuant to the Common Stock Warrant issued on October 25, 2023. F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. F3 · ownership.direct: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F4 · ownership.direct: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 25, 2023 Filed Oct 27, 2023 16:41 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | PurchaseCommon Stock | 171,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-020044 · doc4.xml · nonDerivative · entry 2 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 10% owner Lathi Vijay K · CIK 0001340806 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 395,783 F1 · shares: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. F2 · balance_after: Shares reflect a 1:10 reverse stock split of the Issuer's Common Stock effective September 1, 2023. F5 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 25, 2023 Filed Oct 27, 2023 16:41 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | PurchaseCommon Stock | 1,372,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-020044 · doc4.xml · nonDerivative · entry 1 New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 10% owner Lathi Vijay K · CIK 0001340806 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,463,386 F1 · shares: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. F2 · balance_after: Shares reflect a 1:10 reverse stock split of the Issuer's Common Stock effective September 1, 2023. F3 · ownership.direct: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F4 · ownership.direct: Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| January 11, 2021 Filed Aug 12, 2021 16:15 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | PurchaseCommon Stock | 235,294 | $17.00 | $3,999,998.00 |
DisclosureSEC source: 0000899243-21-032748 · doc4.xml · nonDerivative · entry 1 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 913,860 F1 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F2 · ownership.nature: Each of Ronald M. Hunt, a member of the Issuer's board of directors, and Vijay K. Lathi are the managers of BPO Management-II (the "BPO-II Managers") and may be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 16:47 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 49,991 | $35.00 | $1,749,685.00 |
DisclosureSEC source: 0000899243-19-021804 · doc4.xml · nonDerivative · entry 2 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 387,546 F3 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 16:47 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | SaleCommon Stock | 250,009 | $35.00 | $8,750,315.00 |
DisclosureSEC source: 0000899243-19-021804 · doc4.xml · nonDerivative · entry 1 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 1,938,167 F1 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt and Vijay K. Lathi, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F2 · ownership.nature: Each of the NLV-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | ConversionSeries C Convertible Preferred Stock · Derivative | 464,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · derivative · entry 8 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 464,281 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F4 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F5 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac A. Manke, the managers of BPO Management-II (the "BPO-II Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | ConversionSeries C Convertible Preferred Stock · Derivative | 464,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · derivative · entry 7 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 464,281 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | ConversionSeries B Convertible Preferred Stock · Derivative | 1,564,272 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · derivative · entry 6 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 1,564,272 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | PurchaseCommon Stock | 214,285 | $14.00 | $2,999,990.00 |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · nonDerivative · entry 5 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 678,566 F4 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F5 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac A. Manke, the managers of BPO Management-II (the "BPO-II Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | PurchaseCommon Stock | 214,286 | $14.00 | $3,000,004.00 |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · nonDerivative · entry 4 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 2,242,839 F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | ConversionCommon Stock | 464,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · nonDerivative · entry 3 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 464,281 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F4 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F5 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac A. Manke, the managers of BPO Management-II (the "BPO-II Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | ConversionCommon Stock | 464,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · nonDerivative · entry 2 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 2,028,553 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 17:33 UTC | Harpoon Therapeutics, Inc. HARP · Entity 11424 | ConversionCommon Stock | 1,564,272 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-010317 · doc4.xml · nonDerivative · entry 1 New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 1,564,272 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries C Convertible Preferred Stock · Derivative | 167,537 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · derivative · entry 11 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 167,537 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F5 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F6 · ownership.nature: Each of the BPO-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-3 Convertible Preferred Stock · Derivative | 544,047 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · derivative · entry 10 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 544,047 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-2 Convertible Preferred Stock · Derivative | 260,617 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · derivative · entry 9 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 260,617 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-1 Convertible Preferred Stock · Derivative | 312,741 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · derivative · entry 8 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 312,741 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries A Convertible Preferred Stock · Derivative | 1,070,771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · derivative · entry 7 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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 · 1,070,771 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | PurchaseCommon Stock | 270,000 | $17.00 | $4,590,000.00 |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · nonDerivative · entry 6 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 437,537 F5 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F6 · ownership.nature: Each of the BPO-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 167,537 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · nonDerivative · entry 5 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 167,537 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F5 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F6 · ownership.nature: Each of the BPO-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 544,047 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · nonDerivative · entry 4 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 2,188,176 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 260,617 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · nonDerivative · entry 3 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 1,644,129 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 312,741 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · nonDerivative · entry 2 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 1,383,512 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:53 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 1,070,771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051834 · doc4.xml · nonDerivative · entry 1 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner New Leaf Biopharma Opportunities II, L.P. · CIK 0001735293 · 10% owner New Leaf BPO Associates II, L.P. · CIK 0001740783 · 10% owner New Leaf BPO Management II, L.L.C · CIK 0001740755 · 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: 1,070,771 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and Becker disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests 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.