Karuna Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 28 rows, 28 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-07-02: Reporting owner Alexandria Venture Investments, LLC; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2019-07-02: Reporting owner PAUL STEVEN M; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2019-07-02: Reporting owner PureTech Health LLC; Form 4; Security Series Seed Preferred Stock; Transaction C Conversion of derivative security.
- 2019-07-02: Reporting owner PureTech Health LLC; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-07-02 | Alexandria Venture Investments, LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −165,125 0 owned after | no price filed | 2019-07-05 | |
| 2019-07-02 | PAUL STEVEN M Director, Officer (President & CEO) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −74,294 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | PureTech Health LLC 10% Owner | 4 | Series Seed Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,000,000 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | PureTech Health LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,348,814 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | PureTech Health LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −330,250 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | NELSEN ROBERT Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −557,207 0 owned after | $0.00 | 2019-07-02 | |
| 2019-07-02 | NELSEN ROBERT Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −557,206 0 owned after | $0.00 | 2019-07-02 | |
| 2019-07-02 | NELSEN ROBERT Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −660,502 0 owned after | $0.00 | 2019-07-02 | |
| 2019-07-02 | NELSEN ROBERT Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −660,501 0 owned after | $0.00 | 2019-07-02 | |
| 2019-07-02 | HEALY JAMES Director | 4 | Series B Preferred Stock Derivative · Indirect · By Sofinnova Venture Partners X, L.P | C Conversion of derivative security | −792,602 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | BYBEE CLINTON | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, L.P. | CRANDELL KEITH | ARCH Venture Fund IX, L.P. | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −557,207 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | BYBEE CLINTON | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, L.P. | CRANDELL KEITH | ARCH Venture Fund IX, L.P. | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −557,206 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | BYBEE CLINTON | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, L.P. | CRANDELL KEITH | ARCH Venture Fund IX, L.P. | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −660,502 0 owned after | no price filed | 2019-07-02 | |
| 2019-07-02 | BYBEE CLINTON | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, L.P. | CRANDELL KEITH | ARCH Venture Fund IX, L.P. | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −660,501 0 owned after | no price filed | 2019-07-02 | |
| 2019-06-27 holding as of filing | Alexandria Venture Investments, LLC 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | BYBEE CLINTON | CRANDELL KEITH | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, L.P. | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, LLC | ARCH Venture Fund IX, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | BYBEE CLINTON | CRANDELL KEITH | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, L.P. | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, LLC | ARCH Venture Fund IX, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | BYBEE CLINTON | CRANDELL KEITH | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, L.P. | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, LLC | ARCH Venture Fund IX, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | BYBEE CLINTON | CRANDELL KEITH | ARCH Venture Fund IX Overage, L.P. | ARCH Venture Partners IX, L.P. | ARCH Venture Partners IX Overage, L.P. | ARCH Venture Partners IX, LLC | ARCH Venture Fund IX, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | PureTech Health LLC 10% Owner | 3 | Series Seed Preferred Stock Derivative · Direct | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | PureTech Health LLC 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | PureTech Health LLC 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | PAUL STEVEN M Director, Officer (President & CEO) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | NELSEN ROBERT Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | NELSEN ROBERT Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | NELSEN ROBERT Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | NELSEN ROBERT Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-06-27 | ||
| 2019-06-27 holding as of filing | HEALY JAMES Director | 3 | Series B Preferred Stock Derivative · Indirect · By Sofinnova Venture Partners X, L.P. | Holding | no price filed | 2019-06-27 |