PANDION THERAPEUTICS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 71 rows, 71 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-07-21: Reporting owner ROCHE FINANCE LTD | ROCHE HOLDING LTD; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2020-07-21: Reporting owner ROCHE FINANCE LTD | ROCHE HOLDING LTD; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2020-07-21: Reporting owner Mutz Mitchell; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2020-07-21: Reporting owner Mutz Mitchell; 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-07-21 | ROCHE FINANCE LTD | ROCHE HOLDING LTD 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −13,138,905 0 owned after | $0.00 | 2020-07-23 | |
| 2020-07-21 | ROCHE FINANCE LTD | ROCHE HOLDING LTD 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,414,098 0 owned after | $0.00 | 2020-07-23 | |
| 2020-07-21 | Mutz Mitchell Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −13,138,905 0 owned after | $0.00 | 2020-07-23 | |
| 2020-07-21 | Mutz Mitchell Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,414,098 0 owned after | $0.00 | 2020-07-23 | |
| 2020-07-21 | RA CAPITAL MANAGEMENT, L.P. | Shah Rajeev M. | Kolchinsky Peter 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −7,184,596 0 owned after | no price filed | 2020-07-22 | |
| 2020-07-21 | GLAXOSMITHKLINE PLC Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −7,846,554 0 owned after | no price filed | 2020-07-22 | |
| 2020-07-21 | GLAXOSMITHKLINE PLC Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,776,980 0 owned after | no price filed | 2020-07-22 | |
| 2020-07-21 | Polaris Entrepreneurs' Fund VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Partners VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −14,196,152 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Polaris Entrepreneurs' Fund VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Partners VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −508,090 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Polaris Entrepreneurs' Fund VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Partners VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,387,268 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Polaris Entrepreneurs' Fund VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Partners VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −49,652 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Boxer Asset Management Inc. | LEWIS JOSEPH | Davis Aaron I. | Boxer Capital, LLC | Braslyn Ltd. | MVA Investors, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −7,064,136 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Boxer Asset Management Inc. | LEWIS JOSEPH | Davis Aaron I. | Boxer Capital, LLC | Braslyn Ltd. | MVA Investors, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −120,460 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Carroll Jill Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −7,846,554 0 owned after | no price filed | 2020-07-21 | |
| 2020-07-21 | Carroll Jill Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,776,980 0 owned after | no price filed | 2020-07-21 | |
| 2020-07-21 | JDRF T1D Fund LLC 10% Owner | 4 | Series A Prime Preferred Stock Derivative · Direct | C Conversion of derivative security | −948,225 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | JDRF T1D Fund LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,132,170 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Crane Alan L Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −14,196,152 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Crane Alan L Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −508,090 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Crane Alan L Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,387,268 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Crane Alan L Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −49,652 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Crane Alan L Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −107,768 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Fuglesang Christopher Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −7,184,596 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Versant Ventures VI GP, L.P. | Versant Ventures VI GP-GP, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −14,452,795 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Versant Ventures VI GP, L.P. | Versant Ventures VI GP-GP, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −1,745,458 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Versant Ventures VI GP, L.P. | Versant Ventures VI GP-GP, LLC | Versant Vantage I, L.P. | Versant Venture Capital VI, L.P. | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,245,330 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Becker Daniel J. Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −9,579,462 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Goyal Vikas Officer (See Remarks) | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −35,922 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Kakkar Rahul Director, Officer (Chief Executive Officer) | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −107,768 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Stagliano Nancy Director | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −28,620 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Stagliano Nancy Director | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −47,898 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Viney Joanne L. Officer (See Remarks) | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −107,768 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Frail Donald Director | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −59,872 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-21 | Freedman Edward D. Officer (Chief Operating Officer) | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,974 0 owned after | $0.00 | 2020-07-21 | |
| 2020-07-16 holding as of filing | Blavatnik Len | AI Pan LLC | ACCESS INDUSTRIES MANAGEMENT, LLC | Access Industries Holdings LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | GLAXOSMITHKLINE PLC Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | GLAXOSMITHKLINE PLC Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Kolchinsky Peter | Shah Rajeev M. | RA CAPITAL MANAGEMENT, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | OrbiMed Capital GP VII LLC | OrbiMed Genesis GP LLC | ORBIMED ADVISORS LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | OrbiMed Capital GP VII LLC | OrbiMed Genesis GP LLC | ORBIMED ADVISORS LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Versant Ventures VI GP, L.P. | Versant Ventures VI GP-GP, LLC | Versant Vantage I, L.P. | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Venture Capital VI, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Versant Ventures VI GP, L.P. | Versant Ventures VI GP-GP, LLC | Versant Vantage I, L.P. | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Venture Capital VI, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Versant Ventures VI GP, L.P. | Versant Ventures VI GP-GP, LLC | Versant Vantage I, L.P. | Versant Vantage I GP-GP, LLC | Versant Vantage I GP, L.P. | Versant Venture Capital VI, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Goyal Vikas Officer (See Remarks) | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Polaris Partners VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Entrepreneurs' Fund VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Polaris Partners VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Entrepreneurs' Fund VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Polaris Partners VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Entrepreneurs' Fund VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Polaris Partners VIII, L.P. | Polaris Partners GP VIII, L.L.C. | Polaris Entrepreneurs' Fund VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | ROCHE HOLDING LTD | ROCHE FINANCE LTD 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | ROCHE HOLDING LTD | ROCHE FINANCE LTD 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Kakkar Rahul Director, Officer (Chief Executive Officer) | 3 | Series B Preferred Stock Derivative · Indirect · By Shah-Kakkar Holdings, LLC | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Boxer Asset Management Inc. | Boxer Capital, LLC | Braslyn Ltd. | MVA Investors, LLC | LEWIS JOSEPH | Davis Aaron I. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Boxer Asset Management Inc. | Boxer Capital, LLC | Braslyn Ltd. | MVA Investors, LLC | LEWIS JOSEPH | Davis Aaron I. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Mutz Mitchell Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Mutz Mitchell Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Stagliano Nancy Director | 3 | Series A Preferred Stock Derivative · Indirect · By The Nancy E. Stagliano Trust | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Stagliano Nancy Director | 3 | Series B Preferred Stock Derivative · Indirect · By The Nancy E. Stagliano Trust | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Carroll Jill Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Carroll Jill Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | JDRF T1D Fund LLC 10% Owner | 3 | Series A Prime Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | JDRF T1D Fund LLC 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Frail Donald Director | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Viney Joanne L. Officer (See Remarks) | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Becker Daniel J. Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Freedman Edward D. Officer (Chief Operating Officer) | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Fuglesang Christopher Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Crane Alan L Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Crane Alan L Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Crane Alan L Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Crane Alan L Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2020-07-16 | ||
| 2020-07-16 holding as of filing | Crane Alan L Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2020-07-16 |