Terns Pharmaceuticals, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-08-16: Reporting owner OrbiMed Capital GP VII LLC | OrbiMed Advisors III Ltd | OrbiMed Asia GP III, L.P. | ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC; Form 4; Security Pre-Funded Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2022-08-16: Reporting owner OrbiMed Capital GP VII LLC | OrbiMed Advisors III Ltd | OrbiMed Asia GP III, L.P. | ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC; Form 4; Security Pre-Funded Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2022-08-16: Reporting owner OrbiMed Capital GP VII LLC | OrbiMed Advisors III Ltd | OrbiMed Asia GP III, L.P. | ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC; Form 4; Security Pre-Funded Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2022-08-16: Reporting owner GORDON CARL L; Form 4; Security Pre-Funded Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-08-16 | OrbiMed Capital GP VII LLC | OrbiMed Advisors III Ltd | OrbiMed Asia GP III, L.P. | ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +207,500 207,500 owned after | no price filed | 2022-08-18 | |
| 2022-08-16 | OrbiMed Capital GP VII LLC | OrbiMed Advisors III Ltd | OrbiMed Asia GP III, L.P. | ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +38,450 38,450 owned after | no price filed | 2022-08-18 | |
| 2022-08-16 | OrbiMed Capital GP VII LLC | OrbiMed Advisors III Ltd | OrbiMed Asia GP III, L.P. | ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +64,050 64,050 owned after | no price filed | 2022-08-18 | |
| 2022-08-16 | GORDON CARL L Director, 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +207,500 207,500 owned after | no price filed | 2022-08-18 | |
| 2022-08-16 | GORDON CARL L Director, 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +38,450 38,450 owned after | no price filed | 2022-08-18 | |
| 2022-08-16 | GORDON CARL L Director, 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +64,050 64,050 owned after | no price filed | 2022-08-18 | |
| 2022-08-16 | Vivo Capital Surplus Fund VIII, L.P. | Vivo Opportunity Fund Holdings, L.P. | Vivo Opportunity, LLC | Vivo Capital VIII, LLC | Vivo Capital Fund VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Pre-funded Warrants (right to buy) Derivative · Indirect · By: Vivo Opportunity Fund Holdings, L.P. | P Open market or private purchase of non-derivative or derivative security | +1,500,000 1,500,000 owned after | $2.42 | 2022-08-16 | |
| 2022-08-16 | Lu Hongbo Director | 4 | Pre-funded Warrants (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +1,500,000 1,500,000 owned after | $2.42 | 2022-08-16 |