Akouos, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 110 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-06-25: Reporting owner NOVARTIS AG | Novartis Bioventures Ltd; Form 3; Security Series B Preferred Stock; Transaction Holding.
- 2020-06-25: Reporting owner NEA Partners 16, L.P. | New Enterprise Associates 16, L.P. | NEA 16 GP, LLC; Form 3; Security Series Seed Preferred Stock; Transaction Holding.
- 2020-06-25: Reporting owner NEA Partners 16, L.P. | New Enterprise Associates 16, L.P. | NEA 16 GP, LLC; Form 3; Security Series A Preferred Stock; Transaction Holding.
- 2020-06-25: Reporting owner NEA Partners 16, L.P. | New Enterprise Associates 16, L.P. | NEA 16 GP, LLC; Form 3; Security Series B Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-06-25 holding as of filing | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | NEA Partners 16, L.P. | New Enterprise Associates 16, L.P. | NEA 16 GP, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series Seed Preferred Stock Derivative · Direct | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | NEA Partners 16, L.P. | New Enterprise Associates 16, L.P. | NEA 16 GP, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | NEA Partners 16, L.P. | New Enterprise Associates 16, L.P. | NEA 16 GP, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | PARMAR KUSH Director, 10% Owner | 3 | Series Seed Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | PARMAR KUSH Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | PARMAR KUSH Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Preston Heather Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | EcoR1 Capital, LLC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Notes 2 and 3 | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Marshfield Advisers LLC 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-06-25 |