4//SEC Filing
New Leaf Ventures III, L.P. 4
Accession 0001209191-19-010317
CIK 0001708493other
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 5:33 PM ET
Size
30.9 KB
Accession
0001209191-19-010317
Insider Transaction Report
Form 4
New Leaf Ventures III, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2019-02-12+1,564,272→ 1,564,272 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 2,028,553 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 464,281 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,286$3,000,004→ 2,242,839 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,285$2,999,990→ 678,566 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2019-02-12−1,564,272→ 0 total(indirect: See footnote)→ Common Stock (1,564,272 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying)
Transactions
- Conversion
Common Stock
2019-02-12+1,564,272→ 1,564,272 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 2,028,553 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 464,281 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,286$3,000,004→ 2,242,839 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,285$2,999,990→ 678,566 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2019-02-12−1,564,272→ 0 total(indirect: See footnote)→ Common Stock (1,564,272 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying)
Transactions
- Conversion
Common Stock
2019-02-12+1,564,272→ 1,564,272 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 2,028,553 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 464,281 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,286$3,000,004→ 2,242,839 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,285$2,999,990→ 678,566 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2019-02-12−1,564,272→ 0 total(indirect: See footnote)→ Common Stock (1,564,272 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying)
Transactions
- Conversion
Common Stock
2019-02-12+1,564,272→ 1,564,272 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 2,028,553 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 464,281 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,286$3,000,004→ 2,242,839 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,285$2,999,990→ 678,566 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2019-02-12−1,564,272→ 0 total(indirect: See footnote)→ Common Stock (1,564,272 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying)
New Leaf BPO Associates II, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2019-02-12+1,564,272→ 1,564,272 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 2,028,553 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 464,281 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,286$3,000,004→ 2,242,839 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,285$2,999,990→ 678,566 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2019-02-12−1,564,272→ 0 total(indirect: See footnote)→ Common Stock (1,564,272 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying)
New Leaf BPO Management II, L.L.C
10% Owner
Transactions
- Conversion
Common Stock
2019-02-12+1,564,272→ 1,564,272 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 2,028,553 total(indirect: See footnote) - Conversion
Common Stock
2019-02-12+464,281→ 464,281 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,286$3,000,004→ 2,242,839 total(indirect: See footnote) - Purchase
Common Stock
2019-02-12$14.00/sh+214,285$2,999,990→ 678,566 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2019-02-12−1,564,272→ 0 total(indirect: See footnote)→ Common Stock (1,564,272 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying) - Conversion
Series C Convertible Preferred Stock
2019-02-12−464,281→ 0 total(indirect: See footnote)→ Common Stock (464,281 underlying)
Footnotes (5)
- [F1]All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering.
- [F2]These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
- [F3]Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
- [F4]These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
- [F5]Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac A. Manke, the managers of BPO Management-II (the "BPO-II Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
Documents
Issuer
Harpoon Therapeutics, Inc.
CIK 0001708493
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001625653
Filing Metadata
- Form type
- 4
- Filed
- Feb 13, 7:00 PM ET
- Accepted
- Feb 14, 5:33 PM ET
- Size
- 30.9 KB