Filing Details
- Accession Number:
- 0001209191-14-077779
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-23 16:55:55
- Reporting Period:
- 2014-12-19
- Filing Date:
- 2014-12-23
- Accepted Time:
- 2014-12-23 16:55:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1594864 | Juno Therapeutics Inc. | JUNO | Biological Products, (No Disgnostic Substances) (2836) | 463656275 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1281933 | K Douglas Bratton | 201 Main Street, Suite 1900 Fort Worth TX 76102 | No | No | Yes | No | |
| 1536054 | Crestline Management, Lp | 201 Main Street, Suite 1900 Fort Worth TX 76102 | No | No | Yes | No | |
| 1626595 | Cl Alaska, L.p. | 201 Main Street, Suite 1900 Fort Worth TX 76102 | No | No | Yes | No | |
| 1626596 | Crestline Investors, Inc. | 201 Main Street, Suite 1900 Fort Worth TX 76102 | No | No | Yes | No | |
| 1626597 | Crestline Si (Gp), L.p. | 201 Main Street, Suite 1900 Fort Worth TX 76102 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-12-19 | 625,000 | $25.00 | 988,398 | No | 4 | P | Indirect | By CL Alaska, L.P. |
| Common Stock | Acquisiton | 2014-12-23 | 13,750,000 | $0.00 | 14,738,398 | No | 4 | C | Indirect | By CL Alaska, L.P. |
| Common Stock | Acquisiton | 2014-12-23 | 8,750,000 | $0.00 | 23,488,398 | No | 4 | C | Indirect | By CL Alaska, L.P. |
| Common Stock | Acquisiton | 2014-12-23 | 2,277,732 | $0.00 | 25,766,130 | No | 4 | C | Indirect | By CL Alaska, L.P. |
| Common Stock | Acquisiton | 2014-12-23 | 1,250,000 | $0.00 | 1,250,000 | No | 4 | C | Indirect | By JT Line Partners L.P. |
| Common Stock | Acquisiton | 2014-12-23 | 68,395 | $0.00 | 1,318,395 | No | 4 | C | Indirect | By JT Line Partners L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By CL Alaska, L.P. |
| No | 4 | C | Indirect | By CL Alaska, L.P. |
| No | 4 | C | Indirect | By CL Alaska, L.P. |
| No | 4 | C | Indirect | By CL Alaska, L.P. |
| No | 4 | C | Indirect | By JT Line Partners L.P. |
| No | 4 | C | Indirect | By JT Line Partners L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2014-12-23 | 13,750,000 | $0.00 | 13,750,000 | $0.00 |
| Common Stock | Series A-2 Preferred Stock | Disposition | 2014-12-23 | 8,750,000 | $0.00 | 8,750,000 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-12-23 | 2,277,732 | $0.00 | 2,277,732 | $0.00 |
| Common Stock | Series A-2 Preferred Stock | Disposition | 2014-12-23 | 1,250,000 | $0.00 | 1,250,000 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-12-23 | 68,395 | $0.00 | 68,395 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- The Series A Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date.
- The Series A-2 Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date.
- The Series B Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date.
- These shares are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares. CLA, Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own all of these shares. Each such entity and Mr. Bratton disclaim beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.
- These shares are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares. CLA, Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own all of these shares. Each such entity and Mr. Bratton disclaim beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein.
Billionaire Hedge Funds
