3//SEC Filing
Topspin Fund L.P. 3
Accession 0000899243-18-020102
CIK 0001434418other
Filed
Jul 17, 8:00 PM ET
Accepted
Jul 18, 5:33 PM ET
Size
17.5 KB
Accession
0000899243-18-020102
Insider Transaction Report
Form 3
Topspin Biotech Fund II, L.P.
10% Owner
Holdings
Series E Preferred Stock
→ Common Stock (20,762 underlying)- (indirect: By MSSB C/F Leo A. Guthart)
Series E Preferred Stock
→ Common Stock (31,143 underlying) Series F Preferred Stock
→ Common Stock (408,758 underlying)- (indirect: By MSSB C/F Leo A. Guthart)
Series E-1 Preferred Stock
→ Common Stock (23,627 underlying) - (indirect: By Funds)
Series E Preferred Stock
→ Common Stock (726,678 underlying) - (indirect: By Funds)
Series E-1 Preferred Stock
→ Common Stock (551,306 underlying) Series E-1 Preferred Stock
→ Common Stock (15,750 underlying)
LG Management, LLC
10% Owner
Holdings
- (indirect: By Funds)
Series E Preferred Stock
→ Common Stock (726,678 underlying) Series F Preferred Stock
→ Common Stock (408,758 underlying)- (indirect: By Funds)
Series E-1 Preferred Stock
→ Common Stock (551,306 underlying) - (indirect: By MSSB C/F Leo A. Guthart)
Series E-1 Preferred Stock
→ Common Stock (23,627 underlying) Series E Preferred Stock
→ Common Stock (20,762 underlying)Series E-1 Preferred Stock
→ Common Stock (15,750 underlying)- (indirect: By MSSB C/F Leo A. Guthart)
Series E Preferred Stock
→ Common Stock (31,143 underlying)
GUTHART LEO
10% Owner
Holdings
Series E Preferred Stock
→ Common Stock (20,762 underlying)Series E-1 Preferred Stock
→ Common Stock (15,750 underlying)- (indirect: By Funds)
Series E Preferred Stock
→ Common Stock (726,678 underlying) - (indirect: By MSSB C/F Leo A. Guthart)
Series E Preferred Stock
→ Common Stock (31,143 underlying) Series F Preferred Stock
→ Common Stock (408,758 underlying)- (indirect: By Funds)
Series E-1 Preferred Stock
→ Common Stock (551,306 underlying) - (indirect: By MSSB C/F Leo A. Guthart)
Series E-1 Preferred Stock
→ Common Stock (23,627 underlying)
Topspin Fund L.P.
10% Owner
Holdings
- (indirect: By MSSB C/F Leo A. Guthart)
Series E Preferred Stock
→ Common Stock (31,143 underlying) - (indirect: By MSSB C/F Leo A. Guthart)
Series E-1 Preferred Stock
→ Common Stock (23,627 underlying) Series E-1 Preferred Stock
→ Common Stock (15,750 underlying)- (indirect: By Funds)
Series E Preferred Stock
→ Common Stock (726,678 underlying) Series F Preferred Stock
→ Common Stock (408,758 underlying)- (indirect: By Funds)
Series E-1 Preferred Stock
→ Common Stock (551,306 underlying) Series E Preferred Stock
→ Common Stock (20,762 underlying)
Footnotes (6)
- [F1]The Series E Preferred Stock is convertible into Common Stock on a 8.56256-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 shares are directly held by Topspin Fund L.P. LG Management, LLC, the general partner of Topspin Fund L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.
- [F3]The Series E-1 Preferred Stock is convertible into Common Stock on a 11.009-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.
- [F4]The Series F Preferred Stock is convertible into Common Stock on a 11.009-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.
- [F5]The shares are directly held by Topspin Biotech Fund L.P. LG Management, LLC, the general partner of Topspin Biotech Fund L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.
- [F6]The shares are held directly by individual retirement accounts in the name of Leo A. Guthart and as a result Leo A Guthart may be deemed to be the beneficial owner of such shares. Leo A. Guthart disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest in such shares.
Documents
Issuer
CONSTELLATION PHARMACEUTICALS INC
CIK 0001434418
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001615782
Filing Metadata
- Form type
- 3
- Filed
- Jul 17, 8:00 PM ET
- Accepted
- Jul 18, 5:33 PM ET
- Size
- 17.5 KB