PROMETHEUS BIOSCIENCES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-03-18: Reporting owner Chen Bihua | Cormorant Private Healthcare Fund III LP | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP; Form 3/A; Security Series D-1 Convertible Preferred Stock; Transaction Holding.
- 2021-03-18: Reporting owner Chen Bihua | Cormorant Private Healthcare Fund III LP | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP; Form 3/A; Security Series D-2 Convertible Preferred Stock; Transaction Holding.
- 2021-03-16: Reporting owner Cormorant Global Healthcare Master Fund, LP | Chen Bihua | Cormorant Asset Management, LP | Cormorant Private Healthcare Fund III LP; Form 4; Security Series D-1 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2021-03-16: Reporting owner Cormorant Global Healthcare Master Fund, LP | Chen Bihua | Cormorant Asset Management, LP | Cormorant Private Healthcare Fund III LP; Form 4; Security Series D-2 Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-03-18 holding as of filing | Chen Bihua | Cormorant Private Healthcare Fund III LP | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series D-1 Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2021-03-18 | ||
| 2021-03-18 holding as of filing | Chen Bihua | Cormorant Private Healthcare Fund III LP | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series D-2 Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2021-03-18 | ||
| 2021-03-16 | Cormorant Global Healthcare Master Fund, LP | Chen Bihua | Cormorant Asset Management, LP | Cormorant Private Healthcare Fund III LP Other (Former 10% Owner) | | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −763,327 0 owned after | no price filed | 2021-03-18 | |
| 2021-03-16 | Cormorant Global Healthcare Master Fund, LP | Chen Bihua | Cormorant Asset Management, LP | Cormorant Private Healthcare Fund III LP Other (Former 10% Owner) | | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,084,696 0 owned after | no price filed | 2021-03-18 | |
| 2021-03-16 | Point72 Biotech Private Investments, LLC | COHEN STEVEN A/SAC CAPITAL MGMT LP | 72 Investment Holdings, LLC | Differentiated Ventures Investments, LLC Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −7,633,277 0 owned after | no price filed | 2021-03-17 | |
| 2021-03-16 | Point72 Biotech Private Investments, LLC | COHEN STEVEN A/SAC CAPITAL MGMT LP | 72 Investment Holdings, LLC | Differentiated Ventures Investments, LLC Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D-2 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −10,846,968 0 owned after | no price filed | 2021-03-17 | |
| 2021-03-16 | CEDARS SINAI MEDICAL CENTER 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,000,000 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | CEDARS SINAI MEDICAL CENTER 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −12,000,000 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | CEDARS SINAI MEDICAL CENTER 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −25,000,000 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | CEDARS SINAI MEDICAL CENTER 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,544,425 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | CEDARS SINAI MEDICAL CENTER 10% Owner | 4 | Series D-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,615,656 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | Yamada Tadataka | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −133,334 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | PERCEPTIVE ADVISORS LLC | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | EDELMAN JOSEPH 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −10,177,703 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | PERCEPTIVE ADVISORS LLC | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | EDELMAN JOSEPH 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −14,462,623 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | WONG RODERICK | RTW INVESTMENTS, LP 10% Owner | 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Indirect · By RTW | C Conversion of derivative security | −10,177,703 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-16 | WONG RODERICK | RTW INVESTMENTS, LP 10% Owner | 10% Owner | 4 | Series D-2 Preferred Stock Derivative · Indirect · By RTW | C Conversion of derivative security | −14,462,623 0 owned after | no price filed | 2021-03-16 | |
| 2021-03-12 holding as of filing | Societe des Produits Nestle S.A. | NESTLE SA 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2021-03-12 | ||
| 2021-03-12 holding as of filing | Societe des Produits Nestle S.A. | NESTLE SA 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2021-03-12 | ||
| 2021-03-12 holding as of filing | Societe des Produits Nestle S.A. | NESTLE SA 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2021-03-12 | ||
| 2021-03-11 holding as of filing | Differentiated Ventures Investments, LLC | 72 Investment Holdings, LLC | COHEN STEVEN A/SAC CAPITAL MGMT LP | Point72 Biotech Private Investments, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | Differentiated Ventures Investments, LLC | 72 Investment Holdings, LLC | COHEN STEVEN A/SAC CAPITAL MGMT LP | Point72 Biotech Private Investments, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | CEDARS SINAI MEDICAL CENTER 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | CEDARS SINAI MEDICAL CENTER 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | CEDARS SINAI MEDICAL CENTER 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | CEDARS SINAI MEDICAL CENTER 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | CEDARS SINAI MEDICAL CENTER 10% Owner | 3 | Series D-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | Yamada Tadataka | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | EDELMAN JOSEPH | PERCEPTIVE ADVISORS LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | EDELMAN JOSEPH | PERCEPTIVE ADVISORS LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | WONG RODERICK | RTW INVESTMENTS, LP 10% Owner | 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Indirect · By RTW Investments, LP | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | WONG RODERICK | RTW INVESTMENTS, LP 10% Owner | 10% Owner | 3 | Series D-2 Preferred Stock Derivative · Indirect · By RTW Investments, LP | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | Cormorant Global Healthcare Master Fund, LP | Cormorant Private Healthcare Fund III LP | Chen Bihua | Cormorant Asset Management, LP 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2021-03-11 | ||
| 2021-03-11 holding as of filing | Cormorant Global Healthcare Master Fund, LP | Cormorant Private Healthcare Fund III LP | Chen Bihua | Cormorant Asset Management, LP 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2021-03-11 |