THOMSON TODD S 4

Accession 0001104659-24-090619

CIK 0001652935other

View on SEC.gov Company Profile

Filed

Aug 15, 8:00 PM ET

Accepted

Aug 16, 9:12 PM ET

Size

58.2 KB

Accession

0001104659-24-090619

Insider Transaction Report

Form 4

Period: 2024-08-12

ACTUATE THERAPEUTICS, INC.ACTU

Kairos Venture Partners II, L.P.

Director10% Owner

Transactions

Conversion
Common Stock
2024-08-14+24,138→ 254,735 total(indirect: By Kairos-Actuate SPV, L.P.)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+138,889→ 0 total(indirect: By LLC)
→ Common Stock (138,889 underlying)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+230,597→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (230,597 underlying)
Exercise of In-Money
Warrant (Right to Buy)
2024-08-14+28,464→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (28,464 underlying)
Conversion
Common Stock
2024-08-14+1,058,318→ 1,105,636 total(indirect: By KVP II, L.P.)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+132,908→ 0 total(indirect: By LLC)
→ Common Stock (132,908 underlying)
Conversion
Common Stock
2024-08-14+69,445→ 1,175,081 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+230,597→ 230,597 total(indirect: By Kairos-Actuate SPV, L.P.)
Sale
Common Stock
2024-08-14$8.00/sh−18,750$150,000→ 1,184,795 total(indirect: By KVP II, L.P.)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2024-08-14+726,163→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (726,163 underlying)
Conversion
Common Stock
2024-08-14+726,163→ 726,163 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+146,870→ 873,033 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+138,889→ 138,889 total(indirect: By LLC)
Conversion
Common Stock
2024-08-14+49,984→ 321,781 total(indirect: By LLC)
Exercise of In-Money
Common Stock
2024-08-14$5.27/sh+28,464$150,005→ 1,203,545 total(indirect: By KVP II, L.P.)
Conversion
Series B-1 Redeemable Convertible Preferred Stock
2024-08-14+1,058,318→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (1,058,318 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+69,445→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (69,445 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+24,138→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (24,138 underlying)
Conversion
Common Stock
2024-08-14+132,908→ 271,797 total(indirect: By LLC)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+146,870→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (146,870 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+49,984→ 0 total(indirect: By LLC)
→ Common Stock (49,984 underlying)
Award
Non-Qualified Stock Options
2024-08-12+15,000→ 15,000 total
Exercise: $8.00Exp: 2034-08-12→ Common Stock (15,000 underlying)

THOMSON TODD S

Director10% Owner

Transactions

Conversion
Common Stock
2024-08-14+69,445→ 1,175,081 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+132,908→ 271,797 total(indirect: By LLC)
Conversion
Common Stock
2024-08-14+24,138→ 254,735 total(indirect: By Kairos-Actuate SPV, L.P.)
Conversion
Common Stock
2024-08-14+49,984→ 321,781 total(indirect: By LLC)
Exercise of In-Money
Common Stock
2024-08-14$5.27/sh+28,464$150,005→ 1,203,545 total(indirect: By KVP II, L.P.)
Award
Non-Qualified Stock Options
2024-08-12+15,000→ 15,000 total
Exercise: $8.00Exp: 2034-08-12→ Common Stock (15,000 underlying)
Conversion
Common Stock
2024-08-14+1,058,318→ 1,105,636 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+726,163→ 726,163 total(indirect: By KVOI, L.P.)
Conversion
Series B-1 Redeemable Convertible Preferred Stock
2024-08-14+1,058,318→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (1,058,318 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2024-08-14+726,163→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (726,163 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+69,445→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (69,445 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+146,870→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (146,870 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+138,889→ 0 total(indirect: By LLC)
→ Common Stock (138,889 underlying)
Conversion
Common Stock
2024-08-14+230,597→ 230,597 total(indirect: By Kairos-Actuate SPV, L.P.)
Sale
Common Stock
2024-08-14$8.00/sh−18,750$150,000→ 1,184,795 total(indirect: By KVP II, L.P.)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+49,984→ 0 total(indirect: By LLC)
→ Common Stock (49,984 underlying)
Exercise of In-Money
Warrant (Right to Buy)
2024-08-14+28,464→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (28,464 underlying)
Conversion
Common Stock
2024-08-14+146,870→ 873,033 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+138,889→ 138,889 total(indirect: By LLC)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+132,908→ 0 total(indirect: By LLC)
→ Common Stock (132,908 underlying)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+230,597→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (230,597 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+24,138→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (24,138 underlying)

Kairos SPV Fund LLC

DirectorOther

Transactions

Conversion
Common Stock
2024-08-14+230,597→ 230,597 total(indirect: By Kairos-Actuate SPV, L.P.)
Conversion
Common Stock
2024-08-14+132,908→ 271,797 total(indirect: By LLC)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+230,597→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (230,597 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+49,984→ 0 total(indirect: By LLC)
→ Common Stock (49,984 underlying)
Award
Non-Qualified Stock Options
2024-08-12+15,000→ 15,000 total
Exercise: $8.00Exp: 2034-08-12→ Common Stock (15,000 underlying)
Exercise of In-Money
Common Stock
2024-08-14$5.27/sh+28,464$150,005→ 1,203,545 total(indirect: By KVP II, L.P.)
Conversion
Series B-1 Redeemable Convertible Preferred Stock
2024-08-14+1,058,318→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (1,058,318 underlying)
Conversion
Common Stock
2024-08-14+1,058,318→ 1,105,636 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+726,163→ 726,163 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+69,445→ 1,175,081 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+146,870→ 873,033 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+24,138→ 254,735 total(indirect: By Kairos-Actuate SPV, L.P.)
Conversion
Common Stock
2024-08-14+49,984→ 321,781 total(indirect: By LLC)
Sale
Common Stock
2024-08-14$8.00/sh−18,750$150,000→ 1,184,795 total(indirect: By KVP II, L.P.)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+146,870→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (146,870 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+138,889→ 0 total(indirect: By LLC)
→ Common Stock (138,889 underlying)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+132,908→ 0 total(indirect: By LLC)
→ Common Stock (132,908 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+24,138→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (24,138 underlying)
Conversion
Common Stock
2024-08-14+138,889→ 138,889 total(indirect: By LLC)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2024-08-14+726,163→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (726,163 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+69,445→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (69,445 underlying)
Exercise of In-Money
Warrant (Right to Buy)
2024-08-14+28,464→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (28,464 underlying)

Kairos Venture Opportunities I, L.P.

DirectorOther

Transactions

Conversion
Series B-1 Redeemable Convertible Preferred Stock
2024-08-14+1,058,318→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (1,058,318 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+69,445→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (69,445 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+138,889→ 0 total(indirect: By LLC)
→ Common Stock (138,889 underlying)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+132,908→ 0 total(indirect: By LLC)
→ Common Stock (132,908 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+24,138→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (24,138 underlying)
Conversion
Common Stock
2024-08-14+1,058,318→ 1,105,636 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+69,445→ 1,175,081 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+146,870→ 873,033 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+138,889→ 138,889 total(indirect: By LLC)
Conversion
Common Stock
2024-08-14+132,908→ 271,797 total(indirect: By LLC)
Conversion
Common Stock
2024-08-14+24,138→ 254,735 total(indirect: By Kairos-Actuate SPV, L.P.)
Conversion
Common Stock
2024-08-14+49,984→ 321,781 total(indirect: By LLC)
Exercise of In-Money
Warrant (Right to Buy)
2024-08-14+28,464→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (28,464 underlying)
Award
Non-Qualified Stock Options
2024-08-12+15,000→ 15,000 total
Exercise: $8.00Exp: 2034-08-12→ Common Stock (15,000 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2024-08-14+726,163→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (726,163 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+146,870→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (146,870 underlying)
Conversion
Common Stock
2024-08-14+726,163→ 726,163 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+230,597→ 230,597 total(indirect: By Kairos-Actuate SPV, L.P.)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+230,597→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (230,597 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+49,984→ 0 total(indirect: By LLC)
→ Common Stock (49,984 underlying)
Exercise of In-Money
Common Stock
2024-08-14$5.27/sh+28,464$150,005→ 1,203,545 total(indirect: By KVP II, L.P.)
Sale
Common Stock
2024-08-14$8.00/sh−18,750$150,000→ 1,184,795 total(indirect: By KVP II, L.P.)

Kairos-Actuate SPV, L.P.

DirectorOther

Transactions

Conversion
Common Stock
2024-08-14+69,445→ 1,175,081 total(indirect: By KVP II, L.P.)
Conversion
Common Stock
2024-08-14+138,889→ 138,889 total(indirect: By LLC)
Conversion
Common Stock
2024-08-14+24,138→ 254,735 total(indirect: By Kairos-Actuate SPV, L.P.)
Exercise of In-Money
Common Stock
2024-08-14$5.27/sh+28,464$150,005→ 1,203,545 total(indirect: By KVP II, L.P.)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+138,889→ 0 total(indirect: By LLC)
→ Common Stock (138,889 underlying)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+132,908→ 0 total(indirect: By LLC)
→ Common Stock (132,908 underlying)
Award
Non-Qualified Stock Options
2024-08-12+15,000→ 15,000 total
Exercise: $8.00Exp: 2034-08-12→ Common Stock (15,000 underlying)
Conversion
Common Stock
2024-08-14+132,908→ 271,797 total(indirect: By LLC)
Conversion
Common Stock
2024-08-14+726,163→ 726,163 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+146,870→ 873,033 total(indirect: By KVOI, L.P.)
Conversion
Common Stock
2024-08-14+230,597→ 230,597 total(indirect: By Kairos-Actuate SPV, L.P.)
Conversion
Common Stock
2024-08-14+49,984→ 321,781 total(indirect: By LLC)
Sale
Common Stock
2024-08-14$8.00/sh−18,750$150,000→ 1,184,795 total(indirect: By KVP II, L.P.)
Conversion
Series B-1 Redeemable Convertible Preferred Stock
2024-08-14+1,058,318→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (1,058,318 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2024-08-14+726,163→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (726,163 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+69,445→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (69,445 underlying)
Conversion
Series B-3 Redeemable Convertible Preferred Stock
2024-08-14+146,870→ 0 total(indirect: By KVOI, L.P.)
→ Common Stock (146,870 underlying)
Conversion
Series B-4 Redeemable Convertible Preferred Stock
2024-08-14+230,597→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (230,597 underlying)
Conversion
Common Stock
2024-08-14+1,058,318→ 1,105,636 total(indirect: By KVP II, L.P.)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+24,138→ 0 total(indirect: By Kairos-Actuate SPV, L.P.)
→ Common Stock (24,138 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2024-08-14+49,984→ 0 total(indirect: By LLC)
→ Common Stock (49,984 underlying)
Exercise of In-Money
Warrant (Right to Buy)
2024-08-14+28,464→ 0 total(indirect: By KVP II, L.P.)
→ Common Stock (28,464 underlying)

Footnotes (9)

[F1]The shares of Series B-1 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
[F2]The securities of Actuate Therapeutics, Inc. ("Actuate") that are reported herein are held directly by Kairos-Actuate SPV, L.P., Kairos Venture Partners II, L.P., Kairos Venture Opportunities I, L.P., and Kairos SPV Fund, LLC (collectively, the "Kairos Funds"). The Kairos Funds are managed and controlled by Kairos Venture Investments, LLC ("KVI"), subject to the Limited Partnership Agreements in place for each Kairos Fund. Todd Thomson serves as Chief Financial Officer/Chief Operating Officer of KVI and is a director on the board of directors of Actuate. James Demetriades is the Chief Executive Officer of KVI.
[F3]Each of KVI, Mr. Thomson and Mr. Demetriades may be deemed to indirectly beneficially own the securities of Actuate held directly by the Kairos Funds. Each of KVI, Mr. Thomson and Mr. Demetriades disclaims beneficial ownership of the securities of Actuate held directly by the Kairos Funds except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that any of KVI, Mr. Thomson or Mr. Demetriades is the beneficial owner of such securities for purposes of Section 16 or any other purchase.
[F4]The shares of Series B-2 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
[F5]The shares of Series B-3 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
[F6]The shares of Series B-4 Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
[F7]The shares of Series C Redeemable Convertible Preferred Stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO and had no expiration date.
[F8]On August 14, 2024, in connection with the closing of the Issuer's IPO, the warrant to purchase 28,464 shares of common stock for $5.27 per share was automatically exercised on a cashless basis, resulting in the Issuer withholding of 18,750 of the warrant shares to pay the exercise price and issuing to Kairos Venture Partners II, L.P. the remaining 9,714 shares.
[F9]15,000 stock options granted upon the effectiveness of the registration statement for the issuer's initial public offering on August 12, 2024, which vest in full on the first anniversary of the grant date.

Documents

1 file

4
tm2421960-1_4seq1.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

ACTUATE THERAPEUTICS, INC.

CIK 0001652935

→

Entity typeother

Related Parties

filerCIK 0001225707

Filing Metadata

Form type: 4
Filed: Aug 15, 8:00 PM ET
Accepted: Aug 16, 9:12 PM ET
Size: 58.2 KB

View on SEC.gov