ROCHE HOLDING LTD 4
4 · Pandion Therapeutics, Inc. · Filed Jul 23, 2020
Insider Transaction Report
Form 4
ROCHE HOLDING LTD
10% Owner
Transactions
- Conversion
Common Stock
2020-07-21+3,049,973→ 3,049,973 total(indirect: See footnote) - Conversion
Series A Preferred Stock
2020-07-21−13,138,905→ 0 total(indirect: See footnote)→ Common Stock (2,576,564 underlying) - Purchase
Common Stock
2020-07-21$18.00/sh+36,111$649,998→ 3,086,084 total(indirect: See footnote) - Conversion
Series B Preferred Stock
2020-07-21−2,414,098→ 0 total(indirect: See footnote)→ Common Stock (473,409 underlying)
Footnotes (2)
- [F1]The Series A Preferred Stock and Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series B Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
- [F2]Roche Finance Ltd ("Roche Finance") is the direct beneficial owner of these securities of the Issuer. Roche Finance is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer.