Oyster Point Pharma, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 44 rows, 44 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-11-04: Reporting owner InvOpps GP IV, L.L.C. | InvOpps IV US, L.P. | LAINOVIC SACHA | InvOpps IV, L.P.; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-11-04: Reporting owner InvOpps GP IV, L.L.C. | InvOpps IV US, L.P. | LAINOVIC SACHA | InvOpps IV, L.P.; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-11-04: Reporting owner OYSTER POINT PHARMA I, LLC; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-11-04: Reporting owner Vida Ventures, LLC; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-11-04 | InvOpps GP IV, L.L.C. | InvOpps IV US, L.P. | LAINOVIC SACHA | InvOpps IV, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −609,965 0 owned after | no price filed | 2019-11-06 | |
| 2019-11-04 | InvOpps GP IV, L.L.C. | InvOpps IV US, L.P. | LAINOVIC SACHA | InvOpps IV, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,230,050 0 owned after | no price filed | 2019-11-06 | |
| 2019-11-04 | OYSTER POINT PHARMA I, LLC 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −955,392 0 owned after | no price filed | 2019-11-05 | |
| 2019-11-04 | Vida Ventures, LLC 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −778,468 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | KKR HCSG GP LLC | Falcon Vision LLC | KKR Healthcare Strategic Growth Fund L.P. | KKR Associates HCSG L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −884,622 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | KRAVIS HENRY R | ROBERTS GEORGE R | KKR & Co. Inc. | KKR Management LLC | KKR Group Holdings Corp. | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −884,622 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | BASKETT FOREST | NEA 14 GP, LTD | BARRIS PETER J | New Enterprise Associates 14, L.P. | NEA Partners 14, L.P. | Sonsini Peter W. | SANDELL SCOTT D | MOTT DAVID M | Florence Anthony A. Jr. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,606,282 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | BASKETT FOREST | NEA 14 GP, LTD | BARRIS PETER J | New Enterprise Associates 14, L.P. | NEA Partners 14, L.P. | Sonsini Peter W. | SANDELL SCOTT D | MOTT DAVID M | Florence Anthony A. Jr. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,061,547 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | KPCB XIV Associates, LLC | Kleiner Perkins Caufield & Byers XIV, LLC | KPCB XIV Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −45,529 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Versant Side Fund IV, L.P. | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Venture Capital IV, L.P. | Versant Ventures VI GP-GP, LLC | Versant Ventures IV, LLC | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Ventures VI GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −10,420 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Versant Side Fund IV, L.P. | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Venture Capital IV, L.P. | Versant Ventures VI GP-GP, LLC | Versant Ventures IV, LLC | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Ventures VI GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,654,359 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Versant Side Fund IV, L.P. | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Venture Capital IV, L.P. | Versant Ventures VI GP-GP, LLC | Versant Ventures IV, LLC | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Ventures VI GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −1,941,500 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Versant Side Fund IV, L.P. | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Venture Capital IV, L.P. | Versant Ventures VI GP-GP, LLC | Versant Ventures IV, LLC | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Ventures VI GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −495,388 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Versant Side Fund IV, L.P. | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Venture Capital IV, L.P. | Versant Ventures VI GP-GP, LLC | Versant Ventures IV, LLC | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Ventures VI GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −566,158 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Ozawa Clare Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,941,500 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Ozawa Clare Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −495,388 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Ozawa Clare Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −566,158 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | LINK WILLIAM J PHD Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −10,420 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | LINK WILLIAM J PHD Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,654,359 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | LINK WILLIAM J PHD Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −955,392 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Murray Mark Anthony Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −106,517 0 owned after | no price filed | 2019-11-04 | |
| 2019-11-04 | Ackermann Michael Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −140,567 0 owned after | no price filed | 2019-11-04 | |
| 2019-10-31 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2019-10-31 | ||
| 2019-10-31 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2019-10-31 | ||
| 2019-10-30 holding as of filing | NEA Partners 14, L.P. | NEA 14 GP, LTD | New Enterprise Associates 14, L.P. | SANDELL SCOTT D | BASKETT FOREST | Florence Anthony A. Jr. | MOTT DAVID M | Sonsini Peter W. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | NEA Partners 14, L.P. | NEA 14 GP, LTD | New Enterprise Associates 14, L.P. | SANDELL SCOTT D | BASKETT FOREST | Florence Anthony A. Jr. | MOTT DAVID M | Sonsini Peter W. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | KKR Associates HCSG L.P. | KKR HCSG GP LLC | KKR Healthcare Strategic Growth Fund L.P. | Falcon Vision LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | KKR Fund Holdings L.P. | KKR & Co. Inc. | KKR Group Holdings Corp. | ROBERTS GEORGE R | KRAVIS HENRY R | KKR Management LLC | KKR Fund Holdings GP Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Vida Ventures, LLC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | InvOpps GP IV, L.L.C. | InvOpps IV, L.P. | InvOpps IV US, L.P. | LAINOVIC SACHA Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | InvOpps GP IV, L.L.C. | InvOpps IV, L.P. | InvOpps IV US, L.P. | LAINOVIC SACHA Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | KPCB XIV Associates, LLC | Kleiner Perkins Caufield & Byers XIV, LLC | KPCB XIV Founders Fund, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Versant Ventures IV, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Ventures VI GP, L.P. | Versant Vantage I GP-GP, LLC | Versant Ventures VI GP-GP, LLC | Versant Venture Capital IV, L.P. | Versant Vantage I GP, L.P. | Versant Side Fund IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Versant Ventures IV, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Ventures VI GP, L.P. | Versant Vantage I GP-GP, LLC | Versant Ventures VI GP-GP, LLC | Versant Venture Capital IV, L.P. | Versant Vantage I GP, L.P. | Versant Side Fund IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Versant Ventures IV, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Ventures VI GP, L.P. | Versant Vantage I GP-GP, LLC | Versant Ventures VI GP-GP, LLC | Versant Venture Capital IV, L.P. | Versant Vantage I GP, L.P. | Versant Side Fund IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Versant Ventures IV, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Ventures VI GP, L.P. | Versant Vantage I GP-GP, LLC | Versant Ventures VI GP-GP, LLC | Versant Venture Capital IV, L.P. | Versant Vantage I GP, L.P. | Versant Side Fund IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Versant Ventures IV, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Ventures VI GP, L.P. | Versant Vantage I GP-GP, LLC | Versant Ventures VI GP-GP, LLC | Versant Venture Capital IV, L.P. | Versant Vantage I GP, L.P. | Versant Side Fund IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | OYSTER POINT PHARMA I, LLC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Clare Ozawa Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | LINK WILLIAM J PHD Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | LINK WILLIAM J PHD Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | LINK WILLIAM J PHD Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Murray Mark Anthony Director | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Ackermann Michael Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-10-30 |