4//SEC Filing
Topspin Fund L.P. 4
Accession 0000899243-18-020453
CIK 0001434418other
Filed
Jul 22, 8:00 PM ET
Accepted
Jul 23, 8:07 PM ET
Size
30.2 KB
Accession
0000899243-18-020453
Insider Transaction Report
Form 4
Topspin Fund L.P.
10% Owner
Transactions
- Conversion
Common Stock
2018-07-23+445,270→ 445,270 total - Conversion
Common Stock
2018-07-23+1,277,984→ 1,277,984 total(indirect: By Funds) - Conversion
Common Stock
2018-07-23+54,770→ 54,770 total(indirect: By MSSB C/F Leo A. Guthart) - Conversion
Series E Preferred Stock
2018-07-23−177,777→ 0 total→ Common Stock (20,762 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−173,408→ 0 total→ Common Stock (15,750 underlying) - Conversion
Series F Preferred Stock
2018-07-23−4,500,000→ 0 total→ Common Stock (408,758 underlying) - Conversion
Series E Preferred Stock
2018-07-23−6,222,222→ 0 total(indirect: By Funds)→ Common Stock (726,678 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−6,069,332→ 0 total(indirect: By Funds)→ Common Stock (551,306 underlying) - Conversion
Series E Preferred Stock
2018-07-23−266,667→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (31,143 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−260,114→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (23,627 underlying)
LG Management, LLC
10% Owner
Transactions
- Conversion
Series E Preferred Stock
2018-07-23−266,667→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (31,143 underlying) - Conversion
Series E Preferred Stock
2018-07-23−6,222,222→ 0 total(indirect: By Funds)→ Common Stock (726,678 underlying) - Conversion
Common Stock
2018-07-23+445,270→ 445,270 total - Conversion
Common Stock
2018-07-23+1,277,984→ 1,277,984 total(indirect: By Funds) - Conversion
Common Stock
2018-07-23+54,770→ 54,770 total(indirect: By MSSB C/F Leo A. Guthart) - Conversion
Series E Preferred Stock
2018-07-23−177,777→ 0 total→ Common Stock (20,762 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−173,408→ 0 total→ Common Stock (15,750 underlying) - Conversion
Series F Preferred Stock
2018-07-23−4,500,000→ 0 total→ Common Stock (408,758 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−6,069,332→ 0 total(indirect: By Funds)→ Common Stock (551,306 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−260,114→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (23,627 underlying)
GUTHART LEO
10% Owner
Transactions
- Conversion
Common Stock
2018-07-23+54,770→ 54,770 total(indirect: By MSSB C/F Leo A. Guthart) - Conversion
Series E-1 Preferred Stock
2018-07-23−173,408→ 0 total→ Common Stock (15,750 underlying) - Conversion
Series E Preferred Stock
2018-07-23−6,222,222→ 0 total(indirect: By Funds)→ Common Stock (726,678 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−6,069,332→ 0 total(indirect: By Funds)→ Common Stock (551,306 underlying) - Conversion
Series E Preferred Stock
2018-07-23−266,667→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (31,143 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−260,114→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (23,627 underlying) - Conversion
Common Stock
2018-07-23+445,270→ 445,270 total - Conversion
Common Stock
2018-07-23+1,277,984→ 1,277,984 total(indirect: By Funds) - Conversion
Series E Preferred Stock
2018-07-23−177,777→ 0 total→ Common Stock (20,762 underlying) - Conversion
Series F Preferred Stock
2018-07-23−4,500,000→ 0 total→ Common Stock (408,758 underlying)
Topspin Biotech Fund II, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2018-07-23+1,277,984→ 1,277,984 total(indirect: By Funds) - Conversion
Common Stock
2018-07-23+54,770→ 54,770 total(indirect: By MSSB C/F Leo A. Guthart) - Conversion
Series E Preferred Stock
2018-07-23−177,777→ 0 total→ Common Stock (20,762 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−173,408→ 0 total→ Common Stock (15,750 underlying) - Conversion
Series F Preferred Stock
2018-07-23−4,500,000→ 0 total→ Common Stock (408,758 underlying) - Conversion
Series E Preferred Stock
2018-07-23−6,222,222→ 0 total(indirect: By Funds)→ Common Stock (726,678 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−6,069,332→ 0 total(indirect: By Funds)→ Common Stock (551,306 underlying) - Conversion
Series E-1 Preferred Stock
2018-07-23−260,114→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (23,627 underlying) - Conversion
Common Stock
2018-07-23+445,270→ 445,270 total - Conversion
Series E Preferred Stock
2018-07-23−266,667→ 0 total(indirect: By MSSB C/F Leo A. Guthart)→ Common Stock (31,143 underlying)
Footnotes (4)
- [F1]On July 23, 2018, the Series E-1 and Series F Preferred Stock converted into Common Stock on a 11.009-for-one basis, and the Series E Preferred Stock converted into Common Stock on a 8.56256-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series E, Series E-1 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.
- [F2]The securities 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 securities 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.
- [F4]The securities 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
- 4
- Filed
- Jul 22, 8:00 PM ET
- Accepted
- Jul 23, 8:07 PM ET
- Size
- 30.2 KB