Fusion Pharmaceuticals Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 61 rows, 61 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-06-30: Reporting owner JOHNSON & JOHNSON | Johnson & Johnson Innovation - JJDC, Inc.; Form 4; Security Class A Preferred Shares; Transaction C Conversion of derivative security.
- 2020-06-30: Reporting owner JOHNSON & JOHNSON | Johnson & Johnson Innovation - JJDC, Inc.; Form 4; Security Class B Preferred Shares; Transaction C Conversion of derivative security.
- 2020-06-30: Reporting owner JOHNSON & JOHNSON | Johnson & Johnson Innovation - JJDC, Inc.; Form 4; Security Warrants to purchase Class B Preferred Shares; Transaction C Conversion of derivative security.
- 2020-06-30: Reporting owner BONDERMAN DAVID | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc.; Form 4; Security Class A Preferred Shares; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-06-30 | JOHNSON & JOHNSON | Johnson & Johnson Innovation - JJDC, Inc. 10% Owner | 10% Owner | 4 | Class A Preferred Shares Derivative · Indirect · By Johnson & Johnson Innovation - JJDC, Inc. | C Conversion of derivative security | −10,666,667 0 owned after | $0.00 | 2020-07-02 | |
| 2020-06-30 | JOHNSON & JOHNSON | Johnson & Johnson Innovation - JJDC, Inc. 10% Owner | 10% Owner | 4 | Class B Preferred Shares Derivative · Indirect · By Johnson & Johnson Innovation - JJDC, Inc. | C Conversion of derivative security | −5,059,460 0 owned after | $0.00 | 2020-07-02 | |
| 2020-06-30 | JOHNSON & JOHNSON | Johnson & Johnson Innovation - JJDC, Inc. 10% Owner | 10% Owner | 4 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · By Johnson & Johnson Innovation - JJDC, Inc. | C Conversion of derivative security | −475,802 0 owned after | $0.00 | 2020-07-02 | |
| 2020-06-30 | BONDERMAN DAVID | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Class A Preferred Shares Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | −8,000,000 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | BONDERMAN DAVID | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Class B Preferred Shares Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | −4,289,296 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | Khuong Chau Quang Director | 4 | Class B Preferred Shares Derivative · Indirect · See Footnote | C Conversion of derivative security | −11,878,051 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | Christenson Johan Director | 4 | Class A Preferred Exchangeable Shares Derivative · Indirect · See Footnote | C Conversion of derivative security | −13,333,333 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | Christenson Johan Director | 4 | Class B Preferred Exchangeable Shares Derivative · Indirect · See Footnote | C Conversion of derivative security | −5,712,216 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | HealthCap VII, L.P. | HealthCap VII GP S.A. 10% Owner | 10% Owner | 4 | Class A Preferred Exchangeable Shares Derivative · Indirect · See Footnote | C Conversion of derivative security | −13,333,333 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | HealthCap VII, L.P. | HealthCap VII GP S.A. 10% Owner | 10% Owner | 4 | Class B Preferred Exchangeable Shares Derivative · Indirect · See Footnote | C Conversion of derivative security | −5,712,216 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | VARIAN MEDICAL SYSTEMS INC 10% Owner | 4 | Class A Preferred Shares Derivative · Direct | C Conversion of derivative security | −2,666,667 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | VARIAN MEDICAL SYSTEMS INC 10% Owner | 4 | Class B Preferred Shares Derivative · Direct | C Conversion of derivative security | −14,517,619 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ORBIMED CAPITAL LLC | ORBIMED ADVISORS LLC | OrbiMed Capital GP VII LLC Director | Director | Director | 4 | Class B Preferred Shares Derivative · Indirect · By OrbiMed Private Investments VII, L.P. | C Conversion of derivative security | −11,878,051 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class A Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −2,143,200 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class A Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,645,147 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class A Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,595,823 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class A Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −2,388,822 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class A Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −5,560,341 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class B Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −862,558 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class B Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −662,111 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class B Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −642,260 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class B Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −961,412 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Class B Preferred Shares Derivative · Indirect · See footnotes | C Conversion of derivative security | −2,237,832 0 owned after | no price filed | 2020-07-02 | |
| 2020-06-25 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID 10% Owner | 10% Owner | 10% Owner | 3 | Class A Preferred Shares Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID 10% Owner | 10% Owner | 10% Owner | 3 | Class B Preferred Shares Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID 10% Owner | 10% Owner | 10% Owner | 3 | Class B Preferred Share Purchase Warrants Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Johnson & Johnson Innovation - JJDC, Inc. | JOHNSON & JOHNSON 10% Owner | 10% Owner | 3 | Class A Preferred Shares Derivative · Indirect · By Johnson & Johnson Innovation - JJDC, Inc. | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Johnson & Johnson Innovation - JJDC, Inc. | JOHNSON & JOHNSON 10% Owner | 10% Owner | 3 | Class B Preferred Shares Derivative · Indirect · By Johnson & Johnson Innovation - JJDC, Inc. | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Johnson & Johnson Innovation - JJDC, Inc. | JOHNSON & JOHNSON 10% Owner | 10% Owner | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · By Johnson & Johnson Innovation - JJDC, Inc. | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class A Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class A Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class A Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class A Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class A Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · See footnotes | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Christenson Johan Director | 3 | Class A Preferred Exchangeable Shares Derivative · Indirect · See footnote | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Christenson Johan Director | 3 | Class B Preferred Exchangeable Shares Derivative · Indirect · See footnote | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Christenson Johan Director | 3 | Warrants to purchase Class B Preferred Exchangeable Shares Derivative · Indirect · See footnote | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | VARIAN MEDICAL SYSTEMS INC 10% Owner | 3 | Class A Preferred Shares Derivative · Direct | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | VARIAN MEDICAL SYSTEMS INC 10% Owner | 3 | Class B Preferred Shares Derivative · Direct | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | VARIAN MEDICAL SYSTEMS INC 10% Owner | 3 | Warrants to purchase Class B Preferred Shares Derivative · Direct | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | OrbiMed Capital GP VII LLC | ORBIMED ADVISORS LLC Director | Director | 3 | Class B Preferred Shares Derivative · Indirect · By OrbiMed Private Investments VII, LP | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | OrbiMed Capital GP VII LLC | ORBIMED ADVISORS LLC Director | Director | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · By OrbiMed Private Investments VII, LP | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Khuong Chau Quang Director | 3 | Class B Preferred Shares Derivative · Indirect · By OrbiMed Private Investments VII, LP | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | Khuong Chau Quang Director | 3 | Warrants to purchase Class B Preferred Shares Derivative · Indirect · By OrbiMed Private Investments VII, LP | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-25 holding as of filing | HealthCap VII GP S.A. | HealthCap VII, L.P. 10% Owner | 10% Owner | 3 | Class A Preferred Exchangeable Shares Derivative · Indirect · See footnote | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | HealthCap VII GP S.A. | HealthCap VII, L.P. 10% Owner | 10% Owner | 3 | Class B Preferred Exchangeable Shares Derivative · Indirect · See footnote | Holding | no price filed | 2020-06-25 | ||
| 2020-06-25 holding as of filing | HealthCap VII GP S.A. | HealthCap VII, L.P. 10% Owner | 10% Owner | 3 | Warrants to purchase Class B Preferred Exchangeable Shares Derivative · Indirect · See footnote | Holding | $8.10 exercise price | 2020-06-25 | ||
| 2020-06-02 | Khuong Chau Quang Director | 4 | Class B Preferred Shares Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +5,939,025 11,878,051 owned after | $1.15 | 2020-06-30 | |
| 2020-06-02 | Christenson Johan Director | 4 | Class B Preferred Exchangeable Shares Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +2,856,108 5,712,216 owned after | $1.15 | 2020-06-30 | |
| 2020-01-10 | Khuong Chau Quang Director | 4 | Warrants to Purchase Class B Preferred Shares Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +359,377 359,377 owned after | $1.15 exercise price | 2020-06-30 | |
| 2020-01-10 | Christenson Johan Director | 4 | Warrants to purchase Class B Preferred Exchangeable Shares Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +576,233 576,233 owned after | $1.15 exercise price | 2020-06-30 |