5AM Ventures IV, L.P. 4
4 · Aprea Therapeutics, Inc. · Filed Oct 9, 2019
Insider Transaction Report
Form 4
5AM Ventures IV, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2019-10-07+79,746→ 80,253 total(indirect: See footnotes) - Conversion
Series C Convertible Preferred Stock
2019-10-07−20,519→ 0 total(indirect: See footnotes)→ Common Stock (20,519 underlying) - Conversion
Common Stock
2019-10-07+20,519→ 100,772 total(indirect: See footnotes) - Conversion
Series B Convertible Preferred Stock
2019-10-07−1,913,910→ 0 total(indirect: See footnotes)→ Common Stock (1,913,910 underlying) - Conversion
Series C Convertible Preferred Stock
2019-10-07−492,475→ 0 total(indirect: See footnotes)→ Common Stock (492,475 underlying) - Conversion
Common Stock
2019-10-07+1,913,910→ 1,926,073 total(indirect: See footnotes) - Conversion
Common Stock
2019-10-07+492,475→ 2,418,548 total(indirect: See footnotes) - Purchase
Common Stock
2019-10-07$15.00/sh+333,333$4,999,995→ 333,333 total(indirect: See footnotes) - Conversion
Series B Convertible Preferred Stock
2019-10-07−79,746→ 0 total(indirect: See footnotes)→ Common Stock (79,746 underlying)
Footnotes (6)
- [F1]These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.
- [F2]Shares are held directly by 5AM Ventures IV, L.P.
- [F3]Shares are held directly by 5AM Co-Investors IV, L.P.
- [F4]5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
- [F5]Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
- [F6]5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Mr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.