Simon Nicholas 4
4 · Gritstone Oncology, Inc. · Filed Oct 2, 2018
Insider Transaction Report
Form 4
Simon Nicholas
Director10% Owner
Transactions
- Conversion
Series A Convertible Preferred Stock
2018-10-02−1,565,216→ 0 total(indirect: See Footnote 1)→ Common Stock (1,565,216 underlying) - Purchase
Common Stock
2018-09-28$15.00/sh+333,333$4,999,995→ 333,333 total(indirect: See Footnote) - Conversion
Common Stock
2018-10-02+2,234,112→ 2,567,445 total(indirect: See Footnote) - Conversion
Series B Convertible Preferred Stock
2018-10-02−668,896→ 0 total(indirect: See Footnote)→ Common Stock (668,896 underlying)
Footnotes (3)
- [F1]Consists of the shares held by Clarus Lifesciences III, L.P. ("Clarus"). Clarus Ventures III GP, L.P. ("GPLP"), as the sole general partner of Clarus may be deemed to beneficially own certain of the shares held by Clarus. The GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures III, LLC ("GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. The GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. The Reporting Person, as an individual managing director of GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest.
- [F2]The Series A Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- [F3]The Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.