Filing Details
- Accession Number:
- 0001209191-19-010297
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-02-14 17:24:13
- Reporting Period:
- 2018-11-09
- Accepted Time:
- 2019-02-14 17:24:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1708493 | Harpoon Therapeutics Inc. | HARP | Biological Products, (No Disgnostic Substances) (2836) | 473458693 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1734389 | Mark Chin | C/O Harpoon Therapeutics, Inc. 4000 Shoreline Court, Suite 250 South San Francisco CA 94080 | Yes | 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 | 2019-02-12 | 1,720,698 | $0.00 | 1,720,698 | No | 4 | C | Indirect | By Arix Bioscience Holdings Limited |
Common Stock | Acquisiton | 2019-02-12 | 742,850 | $0.00 | 2,463,548 | No | 4 | C | Indirect | By Arix Bioscience Holdings Limited |
Common Stock | Acquisiton | 2019-02-12 | 428,571 | $14.00 | 2,892,119 | No | 4 | P | Indirect | By Arix Bioscience Holdings Limited |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | By Arix Bioscience Holdings Limited |
No | 4 | C | Indirect | By Arix Bioscience Holdings Limited |
No | 4 | P | Indirect | By Arix Bioscience Holdings Limited |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series C Preferred Stock | Acquisiton | 2018-11-09 | 742,850 | $0.00 | 742,850 | $0.00 |
Common Stock | Director Stock Option (Right to Buy) | Acquisiton | 2018-12-19 | 20,335 | $0.00 | 20,335 | $2.12 |
Common Stock | Series B Preferred Stock | Disposition | 2019-02-12 | 1,720,698 | $0.00 | 1,720,698 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2019-02-12 | 742,850 | $0.00 | 742,850 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
742,850 | No | 4 | P | Indirect | ||
20,335 | 2028-12-19 | No | 4 | A | Direct | |
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering.
- The Reporting Person is an Investment Director for Arix Bioscience plc, the parent company of Arix Bioscience Holdings Limited.
- Reflects a transaction with the Issuer prior to its Section 12 registration which occurred within 6 months of the post-registration transaction reported on this Form 4.
- The stock option vests in three annual installments starting on December 19, 2019, until such time as the option is 100% vested, subject to thecontinuing service of the Reporting Person on each vesting date.