4//SEC Filing
ROCHE HOLDING LTD 4
Accession 0000899243-20-020217
CIK 0001807901other
Filed
Jul 22, 8:00 PM ET
Accepted
Jul 23, 4:50 PM ET
Size
13.7 KB
Accession
0000899243-20-020217
Insider Transaction Report
Form 4
ROCHE FINANCE LTD
10% Owner
Transactions
- Conversion
Series B Preferred Stock
2020-07-21−2,414,098→ 0 total(indirect: See footnote)→ Common Stock (473,409 underlying) - 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)
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.
Documents
Issuer
Pandion Therapeutics, Inc.
CIK 0001807901
Entity typeother
IncorporatedSwitzerland
Related Parties
1- filerCIK 0000889131
Filing Metadata
- Form type
- 4
- Filed
- Jul 22, 8:00 PM ET
- Accepted
- Jul 23, 4:50 PM ET
- Size
- 13.7 KB