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New Leaf Venture Associates III, L.P.

Disclosed activity across 5 companies

Tapewire entity
93221
SEC CIK
0001625656

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ARVINAS, INC.ARVN · Entity 535510% ownerSeptember 26, 2018September 26, 2018
Iterum Therapeutics plcITRM · Entity 7280210% ownerMay 24, 2018May 24, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ARVINAS, INC.

Report date September 26, 2018 · Filed September 26, 2018

Jointly reported with New Leaf Ventures III, L.P., New Leaf Venture Management III, L.L.C.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series B Preferred StockSEC Table II · derivative / convertible securityDirectNot disclosed Reported balance Holding disclosure · report date 2018-09-26 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: The Series B Preferred Stock is convertible into Common Stock on a 3.25-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.

F3: 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. Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, a member of the Issuer's board of directors, are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F4: Each of the 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.

Series C Preferred StockSEC Table II · derivative / convertible securityDirectNot disclosed Reported balance Holding disclosure · report date 2018-09-26 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F2: The Series C Preferred Stock is convertible into Common Stock on a 3.25-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.

F3: 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. Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, a member of the Issuer's board of directors, are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F4: Each of the 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: The Series B Preferred Stock is convertible into Common Stock on a 3.25-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.

F2: The Series C Preferred Stock is convertible into Common Stock on a 3.25-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.

F3: 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. Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, a member of the Issuer's board of directors, are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F4: Each of the 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.

Iterum Therapeutics plc

Report date May 24, 2018 · Filed May 24, 2018

Jointly reported with New Leaf Venture Management III, L.L.C., New Leaf Ventures III, L.P., Lathi Vijay K, Ratcliffe Liam

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Preferred SharesSEC Table II · derivative / convertible securityIndirectBy New Leaf Ventures III, L.P.Not disclosed Reported balance Holding disclosure · report date 2018-05-24 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: The Series A Preferred Shares are convertible into Ordinary Shares of the Issuer at the option of the holder. The Series A Preferred Shares will automatically convert into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F2: Not applicable.

F3: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, are the managing directors of NLVM-III LLC (the "Managing Directors") and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

Series B-1 Preferred SharesSEC Table II · derivative / convertible securityIndirectBy New Leaf Ventures III, L.P.Not disclosed Reported balance Holding disclosure · report date 2018-05-24 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F4: The Series B-1 Preferred Shares are convertible into Ordinary Shares of the Issuer at the option of the holder. The Series B-1 Preferred Shares will automatically convert into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F2: Not applicable.

F3: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, are the managing directors of NLVM-III LLC (the "Managing Directors") and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

Series B-2 Preferred SharesSEC Table II · derivative / convertible securityIndirectBy New Leaf Ventures III, L.P.Not disclosed Reported balance Holding disclosure · report date 2018-05-24 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F5: The Series B-2 Preferred Shares are convertible into Ordinary Shares of the Issuer at the option of the holder. The Series B-2 Preferred Shares will automatically convert into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F2: Not applicable.

F3: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, are the managing directors of NLVM-III LLC (the "Managing Directors") and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A Preferred Shares are convertible into Ordinary Shares of the Issuer at the option of the holder. The Series A Preferred Shares will automatically convert into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F2: Not applicable.

F3: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, are the managing directors of NLVM-III LLC (the "Managing Directors") and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

F4: The Series B-1 Preferred Shares are convertible into Ordinary Shares of the Issuer at the option of the holder. The Series B-1 Preferred Shares will automatically convert into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F5: The Series B-2 Preferred Shares are convertible into Ordinary Shares of the Issuer at the option of the holder. The Series B-2 Preferred Shares will automatically convert into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Section 16 reporting ended · disclosed 2018-06-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote1,047,450 Reported balance After 2018-06-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-06-25 · Conversion · Acquired 1,047,450 · Balance 1,047,450

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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-derivativeIndirectSee footnote2,244,526 Reported balance After 2018-06-25 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-06-25 · Conversion · Acquired 1,197,076 · Balance 2,244,526

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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-derivativeIndirectSee footnote2,796,734 Reported balance After 2018-06-25 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2018-06-25 · Conversion · Acquired 552,208 · Balance 2,796,734

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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-derivativeIndirectSee footnote243,345 Reported balance After 2018-06-25 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2018-06-25 · Conversion · Acquired 243,345 · Balance 243,345

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F4: These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I 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.

F5: Each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the 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-derivativeIndirectSee footnote2,921,734 Reported balance After 2018-06-25 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2018-06-25 · Purchase · Acquired 125,000 · Balance 2,921,734

F6: On June 25, 2018, each of NLV-III and NLV Biopharma purchased 125,000 and 125,000 shares of common stock of the Issuer at a price of $16.00 per share, respectively, pursuant to an underwritten public offering.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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-derivativeIndirectSee footnote368,345 Reported balance After 2018-06-25 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2018-06-25 · Purchase · Acquired 125,000 · Balance 368,345

F6: On June 25, 2018, each of NLV-III and NLV Biopharma purchased 125,000 and 125,000 shares of common stock of the Issuer at a price of $16.00 per share, respectively, pursuant to an underwritten public offering.

F4: These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I 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.

F5: Each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the 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.

Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2018-06-25 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-06-25 · Conversion · Disposed 28,895,188 · Balance 0

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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.

Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2018-06-25 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2018-06-25 · Conversion · Disposed 33,022,786 · Balance 0

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2018-06-25 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2018-06-25 · Conversion · Disposed 15,233,315 · Balance 0

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2018-06-25 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2018-06-25 · Conversion · Disposed 6,712,986 · Balance 0

F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F4: These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I 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.

F5: Each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the 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: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2: 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3: Each of the 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.

F4: These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I 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.

F5: Each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the 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.

F6: On June 25, 2018, each of NLV-III and NLV Biopharma purchased 125,000 and 125,000 shares of common stock of the Issuer at a price of $16.00 per share, respectively, pursuant to an underwritten public offering.

Section 16 reporting ended · disclosed 2019-08-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,886,282 Reported balance After 2019-08-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-08-15 · Sale · Disposed 71,550 · Balance 1,886,282

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.64, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3: (Continuation from footnote 2) Each of Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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-derivativeIndirectSee Footnote1,816,990 Reported balance After 2019-08-16 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2019-08-16 · Sale · Disposed 69,292 · Balance 1,816,990

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.995, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F2: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3: (Continuation from footnote 2) Each of Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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-derivativeIndirectSee Footnote1,790,882 Reported balance After 2019-08-16 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2019-08-16 · Sale · Disposed 26,108 · Balance 1,790,882

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (5) to this Form 4.

F2: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3: (Continuation from footnote 2) Each of Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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-derivativeIndirectSee Footnote2,067,858 Reported balance After 2019-08-15 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2019-08-15 · Sale · Disposed 78,450 · Balance 2,067,858

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.64, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F6: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F7: (Continuation from footnote 6) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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-derivativeIndirectSee Footnote1,991,884 Reported balance After 2019-08-16 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2019-08-16 · Sale · Disposed 75,974 · Balance 1,991,884

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.995, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F6: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F7: (Continuation from footnote 6) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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-derivativeIndirectSee Footnote1,963,258 Reported balance After 2019-08-16 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2019-08-16 · Sale · Disposed 28,626 · Balance 1,963,258

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (5) to this Form 4.

F6: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F7: (Continuation from footnote 6) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.64, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3: (Continuation from footnote 2) Each of Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.995, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (5) to this Form 4.

F6: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F7: (Continuation from footnote 6) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

Section 16 reporting ended · disclosed 2024-03-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2024-03-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote0 Reported balance After 2024-03-11 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeDirect0 Reported balance After 2024-03-11 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 2031-03-23Direct0 Reported balance After 2024-03-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2026-10-25IndirectSee Footnote0 Reported balance After 2024-03-11 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2026-10-25IndirectSee Footnote0 Reported balance After 2024-03-11 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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August 16, 2019 Filed Aug 19, 2019 16:35 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 SaleCommon Stock 28,626 $37.01 $1,059,585.66
Disclosure

SEC source: 0000899243-19-022047 · doc4.xml · nonDerivative · entry 6

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,963,258

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (5) to this Form 4.

F6 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: (Continuation from footnote 6) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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August 16, 2019 Filed Aug 19, 2019 16:35 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 SaleCommon Stock 75,974 $36.54 $2,776,340.67
Disclosure

SEC source: 0000899243-19-022047 · doc4.xml · nonDerivative · entry 5

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,991,884

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.995, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F6 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: (Continuation from footnote 6) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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August 16, 2019 Filed Aug 19, 2019 16:35 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 SaleCommon Stock 26,108 $37.01 $966,382.40
Disclosure

SEC source: 0000899243-19-022047 · doc4.xml · nonDerivative · entry 3

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,790,882

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (5) to this Form 4.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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August 16, 2019 Filed Aug 19, 2019 16:35 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 SaleCommon Stock 69,292 $36.54 $2,532,158.34
Disclosure

SEC source: 0000899243-19-022047 · doc4.xml · nonDerivative · entry 2

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,816,990

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.995, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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August 15, 2019 Filed Aug 19, 2019 16:35 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 SaleCommon Stock 78,450 $36.09 $2,831,346.80
Disclosure

SEC source: 0000899243-19-022047 · doc4.xml · nonDerivative · entry 4

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 2,067,858

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.64, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F6 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: (Continuation from footnote 6) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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August 15, 2019 Filed Aug 19, 2019 16:35 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 SaleCommon Stock 71,550 $36.09 $2,582,318.21
Disclosure

SEC source: 0000899243-19-022047 · doc4.xml · nonDerivative · entry 1

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,886,282

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.64, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries B Convertible Preferred Stock · Derivative 6,712,986 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · derivative · entry 10

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 243,345 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F4 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I 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.

F5 · ownership.nature: Each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries B Convertible Preferred Stock · Derivative 15,233,315 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · derivative · entry 9

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 552,208 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3 · ownership.nature: Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-2 Convertible Preferred Stock · Derivative 33,022,786 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · derivative · entry 8

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 1,197,076 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3 · ownership.nature: Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-1 Convertible Preferred Stock · Derivative 28,895,188 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · derivative · entry 7

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 1,047,450 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3 · ownership.nature: Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 PurchaseCommon Stock 125,000 $16.00 $2,000,000.00
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · nonDerivative · entry 6

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 368,345

F6 · shares: On June 25, 2018, each of NLV-III and NLV Biopharma purchased 125,000 and 125,000 shares of common stock of the Issuer at a price of $16.00 per share, respectively, pursuant to an underwritten public offering.

F4 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I 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.

F5 · ownership.nature: Each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 PurchaseCommon Stock 125,000 $16.00 $2,000,000.00
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · nonDerivative · entry 5

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 2,921,734

F6 · shares: On June 25, 2018, each of NLV-III and NLV Biopharma purchased 125,000 and 125,000 shares of common stock of the Issuer at a price of $16.00 per share, respectively, pursuant to an underwritten 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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3 · ownership.nature: Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionCommon Stock 243,345 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · nonDerivative · entry 4

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 243,345

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 · shares: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F4 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I 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.

F5 · ownership.nature: Each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionCommon Stock 552,208 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · nonDerivative · entry 3

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 2,796,734

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 · shares: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3 · ownership.nature: Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionCommon Stock 1,197,076 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · nonDerivative · entry 2

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 2,244,526

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 · shares: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3 · ownership.nature: Each of the 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
June 25, 2018 Filed Jun 26, 2018 16:57 UTC Aptinyx Inc. APTX · Entity 120922 ConversionCommon Stock 1,047,450 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042317 · a4.xml · nonDerivative · entry 1

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,047,450

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 · shares: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

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 may be deemed to have sole voting and investment power with respect to these securities. 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. Liam T. Ratcliffe, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities.

F3 · ownership.nature: Each of the 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 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionSeries C Preferred Stock · Derivative 65,997 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · derivative · entry 11

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 372,883 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionSeries B-2 Preferred Stock · Derivative 198,004 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · derivative · entry 10

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 1,118,722 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionSeries B-1 Preferred Stock · Derivative 49,505 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · derivative · entry 9

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 279,703 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionSeries B-2 Preferred Stock · Derivative 198,004 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · derivative · entry 8

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 1,118,722 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of Liam Ratcliffe, a member of the Issuer's board of directors, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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October 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionSeries B-1 Preferred Stock · Derivative 148,515 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · derivative · entry 7

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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 · 839,110 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of Liam Ratcliffe, a member of the Issuer's board of directors, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 PurchaseCommon Stock 375,000 $17.00 $6,375,000.00
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · nonDerivative · entry 6

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 2,146,308

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionCommon Stock 372,883 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · nonDerivative · entry 5

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,771,308

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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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October 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionCommon Stock 1,118,722 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · nonDerivative · entry 4

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,398,425

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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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October 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionCommon Stock 279,703 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · nonDerivative · entry 3

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 279,703

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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionCommon Stock 1,118,722 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · nonDerivative · entry 2

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 1,957,832

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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of Liam Ratcliffe, a member of the Issuer's board of directors, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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October 02, 2017 Filed Oct 2, 2017 16:42 UTC Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 ConversionCommon Stock 839,110 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-023140 · doc4.xml · nonDerivative · entry 1

New Leaf Venture Management III, L.L.C. · CIK 0001625657 · 10% owner

New Leaf Ventures III, L.P. · CIK 0001625653 · 10% owner

New Leaf Biopharma Opportunities I, L.P. · CIK 0001625696 · 10% owner

New Leaf Venture Associates III, L.P. · CIK 0001625656 · 10% owner

New Leaf BPO Associates I, L.P. · CIK 0001625693 · 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: 839,110

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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of Liam Ratcliffe, a member of the Issuer's board of directors, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.