RAPT Therapeutics, 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.
- 2019-11-12: Reporting owner Topspin Biotech Fund II, L.P. | Topspin Fund L.P. | LG Management, LLC | GUTHART LEO; Form 3; Security Series B Preferred Stock; Transaction Holding.
- 2019-11-12: Reporting owner Topspin Biotech Fund II, L.P. | Topspin Fund L.P. | LG Management, LLC | GUTHART LEO; Form 3; Security Series C Preferred Stock; Transaction Holding.
- 2019-11-12: Reporting owner Topspin Biotech Fund II, L.P. | Topspin Fund L.P. | LG Management, LLC | GUTHART LEO; Form 3; Security Series C-2 Preferred Stock; Transaction Holding.
- 2019-11-04: Reporting owner Topspin Biotech Fund II, L.P. | LG Management, LLC | Topspin Fund L.P. | GUTHART LEO; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-11-12 holding as of filing | Topspin Biotech Fund II, L.P. | Topspin Fund L.P. | LG Management, LLC | GUTHART LEO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-11-12 | ||
| 2019-11-12 holding as of filing | Topspin Biotech Fund II, L.P. | Topspin Fund L.P. | LG Management, LLC | GUTHART LEO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2019-11-12 | ||
| 2019-11-12 holding as of filing | Topspin Biotech Fund II, L.P. | Topspin Fund L.P. | LG Management, LLC | GUTHART LEO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2019-11-12 | ||
| 2019-11-04 | Topspin Biotech Fund II, L.P. | LG Management, LLC | Topspin Fund L.P. | GUTHART LEO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,641,666 0 owned after | no price filed | 2019-11-15 | |
| 2019-11-04 | Topspin Biotech Fund II, L.P. | LG Management, LLC | Topspin Fund L.P. | GUTHART LEO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −363,504 0 owned after | no price filed | 2019-11-15 | |
| 2019-11-04 | Topspin Biotech Fund II, L.P. | LG Management, LLC | Topspin Fund L.P. | GUTHART LEO 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −155,201 0 owned after | no price filed | 2019-11-15 | |
| 2019-11-04 | GOEDDEL DAVID V Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By The Column Group II, LP | C Conversion of derivative security | −14,781,963 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | GOEDDEL DAVID V Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By The Column Group II, LP | C Conversion of derivative security | −7,000,000 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | GOEDDEL DAVID V Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By The Column Group II, LP | C Conversion of derivative security | −4,362,050 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | GOEDDEL DAVID V Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ponoi Capital, LP | C Conversion of derivative security | −8,724,100 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | GOEDDEL DAVID V Director, 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · By Ponoi Capital, LP | C Conversion of derivative security | −872,410 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | GOEDDEL DAVID V Director, 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · By Ponoi Capital II, LP | C Conversion of derivative security | −872,410 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | Wong Brian Russell Director, Officer (President and CEO) | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −150,000 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | RIEFLIN WILLIAM JL Director | 4 | Series A Preferred Stock Derivative · Indirect · By Rieflin Family Trust u/a dtd 4/3/00, William J. Rieflin and Prudence H. Rieflin, Trustees | C Conversion of derivative security | −260,344 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | RIEFLIN WILLIAM JL Director | 4 | Series B Preferred Stock Derivative · Indirect · By Rieflin Family Trust u/a dtd 4/3/00, William J. Rieflin and Prudence H. Rieflin, Trustees | C Conversion of derivative security | −100,000 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | KPCB XV Associates, LLC | KPCB XV Founders Fund, LLC | Kleiner Perkins Caufield & Byers XV, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as | C Conversion of derivative security | −17,228,956 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | KPCB XV Associates, LLC | KPCB XV Founders Fund, LLC | Kleiner Perkins Caufield & Byers XV, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as | C Conversion of derivative security | −1,000,000 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | KPCB XV Associates, LLC | KPCB XV Founders Fund, LLC | Kleiner Perkins Caufield & Byers XV, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as | C Conversion of derivative security | −2,181,025 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | KPCB XV Associates, LLC | KPCB XV Founders Fund, LLC | Kleiner Perkins Caufield & Byers XV, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as | C Conversion of derivative security | −872,410 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | Ponoi Capital II, LP | Column Group II Management, LP | Ponoi Management, LLC | Column Group II GP, LP | Ponoi II Management, LLC | PONOI CAPITAL, LP | Kutzkey Tim | COLUMN GROUP II, LP | Svennilson Peter 10% Owner | 10% Owner | | | | 10% Owner | | 10% Owner | | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −14,781,963 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | Ponoi Capital II, LP | Column Group II Management, LP | Ponoi Management, LLC | Column Group II GP, LP | Ponoi II Management, LLC | PONOI CAPITAL, LP | Kutzkey Tim | COLUMN GROUP II, LP | Svennilson Peter 10% Owner | 10% Owner | | | | 10% Owner | | 10% Owner | | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,000,000 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | Ponoi Capital II, LP | Column Group II Management, LP | Ponoi Management, LLC | Column Group II GP, LP | Ponoi II Management, LLC | PONOI CAPITAL, LP | Kutzkey Tim | COLUMN GROUP II, LP | Svennilson Peter 10% Owner | 10% Owner | | | | 10% Owner | | 10% Owner | | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,362,050 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | Ponoi Capital II, LP | Column Group II Management, LP | Ponoi Management, LLC | Column Group II GP, LP | Ponoi II Management, LLC | PONOI CAPITAL, LP | Kutzkey Tim | COLUMN GROUP II, LP | Svennilson Peter 10% Owner | 10% Owner | | | | 10% Owner | | 10% Owner | | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,724,100 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | Ponoi Capital II, LP | Column Group II Management, LP | Ponoi Management, LLC | Column Group II GP, LP | Ponoi II Management, LLC | PONOI CAPITAL, LP | Kutzkey Tim | COLUMN GROUP II, LP | Svennilson Peter 10% Owner | 10% Owner | | | | 10% Owner | | 10% Owner | | 4 | Series C-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −872,410 0 owned after | $0.00 | 2019-11-04 | |
| 2019-11-04 | Ponoi Capital II, LP | Column Group II Management, LP | Ponoi Management, LLC | Column Group II GP, LP | Ponoi II Management, LLC | PONOI CAPITAL, LP | Kutzkey Tim | COLUMN GROUP II, LP | Svennilson Peter 10% Owner | 10% Owner | | | | 10% Owner | | 10% Owner | | 4 | Series C-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −872,410 0 owned after | $0.00 | 2019-11-04 | |
| 2019-10-30 holding as of filing | Wong Brian Russell Director, Officer (President and CEO) | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | RIEFLIN WILLIAM JL Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | RIEFLIN WILLIAM JL Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | GOEDDEL DAVID V Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By The Column Group II, LP | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | GOEDDEL DAVID V Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By The Column Group II, LP | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | GOEDDEL DAVID V Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By The Column Group II, LP | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | GOEDDEL DAVID V Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Ponoi Capital, LP | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | GOEDDEL DAVID V Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · By Ponoi Capital, LP | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | GOEDDEL DAVID V Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · By Ponoi Capital II, LP | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Kleiner Perkins Caufield & Byers XV, LLC | KPCB XV Founders Fund, LLC | KPCB XV Associates, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as nominee | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Kleiner Perkins Caufield & Byers XV, LLC | KPCB XV Founders Fund, LLC | KPCB XV Associates, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as nominee | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Kleiner Perkins Caufield & Byers XV, LLC | KPCB XV Founders Fund, LLC | KPCB XV Associates, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as nominee | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Kleiner Perkins Caufield & Byers XV, LLC | KPCB XV Founders Fund, LLC | KPCB XV Associates, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · By KPCB Holdings, Inc., as nominee | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Column Group II Management, LP | Ponoi II Management, LLC | Svennilson Peter | PONOI CAPITAL, LP | COLUMN GROUP II, LP | Ponoi Capital II, LP | Ponoi Management, LLC | Kutzkey Tim | Column Group II GP, LP 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | | | | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Column Group II Management, LP | Ponoi II Management, LLC | Svennilson Peter | PONOI CAPITAL, LP | COLUMN GROUP II, LP | Ponoi Capital II, LP | Ponoi Management, LLC | Kutzkey Tim | Column Group II GP, LP 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | | | | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Column Group II Management, LP | Ponoi II Management, LLC | Svennilson Peter | PONOI CAPITAL, LP | COLUMN GROUP II, LP | Ponoi Capital II, LP | Ponoi Management, LLC | Kutzkey Tim | Column Group II GP, LP 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | | | | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Column Group II Management, LP | Ponoi II Management, LLC | Svennilson Peter | PONOI CAPITAL, LP | COLUMN GROUP II, LP | Ponoi Capital II, LP | Ponoi Management, LLC | Kutzkey Tim | Column Group II GP, LP 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | | | | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Column Group II Management, LP | Ponoi II Management, LLC | Svennilson Peter | PONOI CAPITAL, LP | COLUMN GROUP II, LP | Ponoi Capital II, LP | Ponoi Management, LLC | Kutzkey Tim | Column Group II GP, LP 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | | | | 3 | Series C-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 | ||
| 2019-10-30 holding as of filing | Column Group II Management, LP | Ponoi II Management, LLC | Svennilson Peter | PONOI CAPITAL, LP | COLUMN GROUP II, LP | Ponoi Capital II, LP | Ponoi Management, LLC | Kutzkey Tim | Column Group II GP, LP 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | | | | 3 | Series C-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2019-10-30 |