LIQUIDIA TECHNOLOGIES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 111 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-08-08: Reporting owner Bathurst Enterprises Ltd | 1118 Ltd; Form 3; Security Series D Preferred; Transaction Holding.
- 2018-07-30: Reporting owner 1118 Ltd | Bathurst Enterprises Ltd; Form 4; Security Series D Preferred; Transaction C Conversion of derivative security.
- 2018-07-30: Reporting owner Zahir Fares | Xeraya LT Ltd; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2018-07-30: Reporting owner SANDELL SCOTT D; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-08-08 holding as of filing | Bathurst Enterprises Ltd | 1118 Ltd 10% Owner | 10% Owner | 3 | Series D Preferred Derivative · Direct | Holding | no price filed | 2018-08-08 | ||
| 2018-07-30 | 1118 Ltd | Bathurst Enterprises Ltd 10% Owner | 10% Owner | 4 | Series D Preferred Derivative · Direct | C Conversion of derivative security | −1,694,738 0 owned after | $0.00 | 2018-08-08 | |
| 2018-07-30 | Zahir Fares | Xeraya LT Ltd 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −17,445,780 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | SANDELL SCOTT D 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,645,307 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | SANDELL SCOTT D 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,337,206 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | SANDELL SCOTT D 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −16,502,833 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | SANDELL SCOTT D 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | −684,911 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | KERINS PATRICK J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,645,307 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | KERINS PATRICK J 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,337,206 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | KERINS PATRICK J 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −16,502,833 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | KERINS PATRICK J 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | −684,911 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | BASKETT FOREST 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,645,307 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BASKETT FOREST 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,337,206 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BASKETT FOREST 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −16,502,833 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BASKETT FOREST 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | −684,911 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Bathurst Enterprises Ltd | Garden East Ltd 10% Owner | 10% Owner | 4 | Series D Preferred Derivative · Direct | C Conversion of derivative security | −1,694,738 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | BARRIS PETER J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,645,307 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BARRIS PETER J 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,337,206 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BARRIS PETER J 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −16,502,833 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BARRIS PETER J 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | −684,911 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | BARRETT M JAMES 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,645,307 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BARRETT M JAMES 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −3,337,206 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BARRETT M JAMES 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −16,502,833 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | BARRETT M JAMES 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | −684,911 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | GLAXOSMITHKLINE PLC Other (Former 10% holder) | 4 | Series C-1 Preferred Stock Derivative · Indirect · See explanation of responses | C Conversion of derivative security | −4,765,248 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | GLAXOSMITHKLINE PLC Other (Former 10% holder) | 4 | Series D Preferred Stock Derivative · Indirect · See explanation of responses | C Conversion of derivative security | −344,853 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Alexandria Venture Investments, LLC 10% Owner | 4 | Series D preferred stock Derivative · Direct | C Conversion of derivative security | −4,371,889 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Alexandria Venture Investments, LLC 10% Owner | 4 | Warrant to purchase Series D preferred stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −470,254 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,645,307 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,337,206 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −16,502,833 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −684,911 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Bill & Melinda Gates Foundation 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,286,115 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | University of North Carolina at Chapel Hill Foundation, Inc. 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,504,815 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Wakefield Group IV, LLC 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −954,241 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Wakefield Group IV, LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −410,328 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Wakefield Group IV, LLC 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −901,423 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Wakefield Group IV, LLC 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −156,751 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Wakefield Group III, LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −270,677 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Sovereign's Capital II, LP 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,323,642 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Sovereign's Capital II, LP 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −156,751 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Morningside Venture Investments Ltd 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,420,516 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Morningside Venture Investments Ltd 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,849,490 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Morningside Venture Investments Ltd 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −319,664 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Bloch Stephen M Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −918,657 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Bloch Stephen M Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −650,427 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Bloch Stephen M Director | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −222,529 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Bloch Stephen M Director | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −5,254,658 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Bloch Stephen M Director | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −15,887,155 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Bloch Stephen M Director | 4 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | −578,498 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | LEERINK REVELATION HEALTHCARE FUND I, L.P. | Leerink Revelation Healthcare Fund I GP, L.P. 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,688,068 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Eagle Holding Co II, LLC | Eagle Holding Co I | Jaguar Holding Co I, LLC | Jaguar Holding Co II | PHARMACEUTICAL PRODUCT DEVELOPMENT, LLC | Wildcat Acquisition Holdings (UK) Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,420,516 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Mario Jeremy | Melmotte LLC | Mario Family Credit LLC Series D 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −313,503 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Mario Jeremy | Melmotte LLC | Mario Family Credit LLC Series D 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,813,840 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Amereus Group PTE LTD | VOROBYEV MAXIM YURYEVICH 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,360,085 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −918,657 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −650,427 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −222,529 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,254,658 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −15,887,155 0 owned after | no price filed | 2018-08-01 | |
| 2018-07-30 | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −578,498 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Medical Mutual Holdings, Inc. 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,699,872 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | Medical Mutual Holdings, Inc. 10% Owner | 4 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | −470,254 0 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | ALWP CAPITAL SPC LTD | AL WEALTH PARTNERS PTE. LTD. 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,542,106 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | PAPPAS CAPITAL, LLC | PAPPAS ARTHUR M | AMP&A Management IV, LLC | PV IV CEO Fund, L.P. | A.M. Pappas Life Science Ventures IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock, par value $0.001 per share Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,481,553 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-30 | PAPPAS CAPITAL, LLC | PAPPAS ARTHUR M | AMP&A Management IV, LLC | PV IV CEO Fund, L.P. | A.M. Pappas Life Science Ventures IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock, par value $0.001 per share Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,637,091 0 owned after | $0.00 | 2018-08-01 | |
| 2018-07-26 holding as of filing | PV IV CEO Fund, L.P. | AMP&A Management IV, LLC | A.M. Pappas Life Science Ventures IV LP | PAPPAS ARTHUR M | PAPPAS CAPITAL, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock, par value $0.001 per share Derivative · Indirect · See footnotes | Holding | no price filed | 2018-07-26 | ||
| 2018-07-26 holding as of filing | PV IV CEO Fund, L.P. | AMP&A Management IV, LLC | A.M. Pappas Life Science Ventures IV LP | PAPPAS ARTHUR M | PAPPAS CAPITAL, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock, par value $0.001 per share Derivative · Indirect · See footnotes | Holding | no price filed | 2018-07-26 | ||
| 2018-07-26 holding as of filing | PV IV CEO Fund, L.P. | AMP&A Management IV, LLC | A.M. Pappas Life Science Ventures IV LP | PAPPAS ARTHUR M | PAPPAS CAPITAL, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See footnotes | Holding | $0.01 exercise price | 2018-07-26 | ||
| 2018-07-25 holding as of filing | University of North Carolina at Chapel Hill Foundation, Inc. 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Sovereign's Capital II, LP 10% Owner | 3 | Warrant to purchase Series D Preferred Stock Derivative · Direct | Holding | $0.01 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Sovereign's Capital II, LP 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bathurst Enterprises Ltd | Garden East Ltd 10% Owner | 10% Owner | 3 | Series D Preferred Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Eagle Holding Co II, LLC | Eagle Holding Co I | Jaguar Holding Co II | Wildcat Acquisition Holdings (UK) Ltd | PHARMACEUTICAL PRODUCT DEVELOPMENT, LLC | Jaguar Holding Co I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Medical Mutual Holdings, Inc. 10% Owner | 3 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Medical Mutual Holdings, Inc. 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bloch Stephen M Director | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bloch Stephen M Director | 3 | Series A-1 Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bloch Stephen M Director | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bloch Stephen M Director | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bloch Stephen M Director | 3 | Warrant to purchase Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bloch Stephen M Director | 3 | Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 3 | Warrant to purchase Series D Preferred Stock Derivative · Direct | Holding | $0.01 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | LEERINK REVELATION HEALTHCARE FUND I, L.P. | Leerink Revelation Healthcare Fund I GP, L.P. 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Morningside Venture Investments Ltd 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Morningside Venture Investments Ltd 10% Owner | 3 | Warrant to purchase Series D Preferred Stock Derivative · Direct | Holding | $0.01 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Morningside Venture Investments Ltd 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Amereus Group PTE LTD | VOROBYEV MAXIM YURYEVICH 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Wakefield Group IV, LLC 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Wakefield Group IV, LLC 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Wakefield Group IV, LLC 10% Owner | 3 | Warrant to purchase Series D Preferred Stock Derivative · Direct | Holding | $0.01 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Wakefield Group IV, LLC 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | BASKETT FOREST | BARRETT M JAMES | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | KERINS PATRICK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 |