Carisma Therapeutics Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows, 24 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-12: Reporting owner TEPPER ROBERT I | STARR KEVIN P; Form 3; Security Series A Preferred Stock; Transaction Holding.
- 2014-02-12: Reporting owner TEPPER ROBERT I | STARR KEVIN P; Form 3; Security Series B Preferred Stock; Transaction Holding.
- 2014-02-11: Reporting owner KANIA EDWIN M JR | Flagship Ventures Fund IV, L.P. | Flagship Ventures 2007 General Partner LLC | AFEYAN NOUBAR | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund 2007, L.P. | Flagship Ventures Fund IV General Partner LLC; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-02-11: Reporting owner KANIA EDWIN M JR | Flagship Ventures Fund IV, L.P. | Flagship Ventures 2007 General Partner LLC | AFEYAN NOUBAR | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund 2007, L.P. | Flagship Ventures Fund IV General Partner LLC; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-12 holding as of filing | TEPPER ROBERT I | STARR KEVIN P 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | TEPPER ROBERT I | STARR KEVIN P 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-11 | KANIA EDWIN M JR | Flagship Ventures Fund IV, L.P. | Flagship Ventures 2007 General Partner LLC | AFEYAN NOUBAR | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund 2007, L.P. | Flagship Ventures Fund IV General Partner LLC 10% Owner | 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,000,000 0 owned after | $0.00 | 2014-02-13 | |
| 2014-02-11 | KANIA EDWIN M JR | Flagship Ventures Fund IV, L.P. | Flagship Ventures 2007 General Partner LLC | AFEYAN NOUBAR | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund 2007, L.P. | Flagship Ventures Fund IV General Partner LLC 10% Owner | 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,200,000 0 owned after | $0.00 | 2014-02-13 | |
| 2014-02-11 | KANIA EDWIN M JR | Flagship Ventures Fund IV, L.P. | Flagship Ventures 2007 General Partner LLC | AFEYAN NOUBAR | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund 2007, L.P. | Flagship Ventures Fund IV General Partner LLC 10% Owner | 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,050,000 0 owned after | $0.00 | 2014-02-13 | |
| 2014-02-11 | KANIA EDWIN M JR | Flagship Ventures Fund IV, L.P. | Flagship Ventures 2007 General Partner LLC | AFEYAN NOUBAR | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund 2007, L.P. | Flagship Ventures Fund IV General Partner LLC 10% Owner | 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,680,213 0 owned after | $0.00 | 2014-02-13 | |
| 2014-02-11 | KANIA EDWIN M JR | Flagship Ventures Fund IV, L.P. | Flagship Ventures 2007 General Partner LLC | AFEYAN NOUBAR | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund 2007, L.P. | Flagship Ventures Fund IV General Partner LLC 10% Owner | 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −420,053 0 owned after | $0.00 | 2014-02-13 | |
| 2014-02-11 | TEPPER ROBERT I | LEVIN MARK J | TRV GP, LLC | STARR KEVIN P | Third Rock Ventures GP, L.P. | THIRD ROCK VENTURES LP 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −20,750,000 0 owned after | $0.00 | 2014-02-13 | |
| 2014-02-11 | TEPPER ROBERT I | LEVIN MARK J | TRV GP, LLC | STARR KEVIN P | Third Rock Ventures GP, L.P. | THIRD ROCK VENTURES LP 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,058,281 0 owned after | $0.00 | 2014-02-13 | |
| 2014-02-11 | JAFCO Super V3 Investment Limited Partnership 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,574,803 0 owned after | $0.00 | 2014-02-12 | |
| 2014-02-11 | JAFCO Super V3 Investment Limited Partnership 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −232,105 0 owned after | $0.00 | 2014-02-12 | |
| 2014-02-06 holding as of filing | JAFCO Super V3 Investment Limited Partnership 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | JAFCO Super V3 Investment Limited Partnership 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | Pfeffer Cary Director | 3 | Series A Preferred Stock Derivative · Indirect · See footnote. | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | Pfeffer Cary Director | 3 | Series B Preferred Stock Derivative · Indirect · See footnote. | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | LEVIN MARK J Director | 3 | Series A Preferred Stock Derivative · Indirect · See footnote. | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | LEVIN MARK J Director | 3 | Series B Preferred Stock Derivative · Indirect · See footnote. | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | Third Rock Ventures GP, L.P. | THIRD ROCK VENTURES LP | TRV GP, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-06 | ||
| 2014-02-06 holding as of filing | Third Rock Ventures GP, L.P. | THIRD ROCK VENTURES LP | TRV GP, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-06 | ||
| 2014-02-05 holding as of filing | Flagship Ventures Fund 2007, L.P. | Flagship Ventures 2007 General Partner LLC | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund IV General Partner LLC | Flagship Ventures Fund IV, L.P. | KANIA EDWIN M JR | AFEYAN NOUBAR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-05 | ||
| 2014-02-05 holding as of filing | Flagship Ventures Fund 2007, L.P. | Flagship Ventures 2007 General Partner LLC | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund IV General Partner LLC | Flagship Ventures Fund IV, L.P. | KANIA EDWIN M JR | AFEYAN NOUBAR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-05 | ||
| 2014-02-05 holding as of filing | Flagship Ventures Fund 2007, L.P. | Flagship Ventures 2007 General Partner LLC | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund IV General Partner LLC | Flagship Ventures Fund IV, L.P. | KANIA EDWIN M JR | AFEYAN NOUBAR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-05 | ||
| 2014-02-05 holding as of filing | Flagship Ventures Fund 2007, L.P. | Flagship Ventures 2007 General Partner LLC | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund IV General Partner LLC | Flagship Ventures Fund IV, L.P. | KANIA EDWIN M JR | AFEYAN NOUBAR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-05 | ||
| 2014-02-05 holding as of filing | Flagship Ventures Fund 2007, L.P. | Flagship Ventures 2007 General Partner LLC | Flagship Ventures Fund IV-Rx, L.P. | Flagship Ventures Fund IV General Partner LLC | Flagship Ventures Fund IV, L.P. | KANIA EDWIN M JR | AFEYAN NOUBAR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-05 |