4//SEC Filing
LAWLOR AUGUSTINE 4
Accession 0001104659-24-119793
CIK 0001509745other
Filed
Nov 14, 7:00 PM ET
Accepted
Nov 15, 5:29 PM ET
Size
10.0 KB
Accession
0001104659-24-119793
Insider Transaction Report
Form 4
LAWLOR AUGUSTINE
Chief Operating Officer
Transactions
- Exercise of In-Money
Common Stock
2024-11-13$2.82/sh+2,136$6,024→ 678,456 total(indirect: See Footnotes) - Exercise of In-Money
Warrant (Right to Buy)
2024-11-13−2,136→ 0 total(indirect: See Footnote)Exercise: $2.82From: 2017-11-14Exp: 2024-11-14→ Common Stock, $0.001 par value per share (2,136 underlying)
Holdings
- 5,086
Common Stock
Footnotes (3)
- [F1]On November 13, 2024, Nine Capital Partners, LLC ("Nine Capital Partners") exercised a warrant to purchase 2,136 shares of the Issuer's common stock at an exercise price of $2.82 per share. The reporting person is a managing member of Nine Capital Partners and may be deemed to have had beneficial ownership of such warrant exercised by Nine Capital Partners and to have beneficial ownership of the 2,136 shares of Common Stock purchased by Nine Capital Partners upon exercise of such warrant. The reporting person disclaims beneficial ownership of such warrant and of such shares of Common Stock, except to the extent of the reporting person's proportionate pecuniary interest in such warrant and such shares of Common Stock.
- [F2]Includes (i) 2,136 shares of Common Stock held by Nine Capital Partners, (ii) 414,480 shares of Common Stock held by HealthCare Ventures IX, L.P. ("HCV IX"), and (iii) 261,840 shares of Common Stock held by the HCV VIII Trust ("HCV Trust"). See footnote (1) above for an explanation of the reporting person's beneficial ownership of the 2,136 shares of Common Stock held by Nine Capital Partners. The reporting person is a Managing Director of HCPIX LLC, which is the General Partner of HealthCare Partners IX, which is the General Partner of HCV IX and may be deemed to have beneficial ownership of the 414,480 shares of Common Stock held by HCV IX. The reporting person is the manager and a beneficiary of the HCV Trust and may be deemed to have beneficial ownership of the 261,840 shares of Common Stock held by the HCV Trust.
- [F3]The reporting person disclaims beneficial ownership of such shares of Common Stock held by each of Nine Capital Partners, HCV IX, and the HCV Trust, except to the extent of the reporting person's proportionate pecuniary interest in such shares of Common Stock.
Documents
Issuer
LEAP THERAPEUTICS, INC.
CIK 0001509745
Entity typeother
Related Parties
1- filerCIK 0001262327
Filing Metadata
- Form type
- 4
- Filed
- Nov 14, 7:00 PM ET
- Accepted
- Nov 15, 5:29 PM ET
- Size
- 10.0 KB