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Filing Details

Accession Number:: 0001209191-19-010306
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-02-14 17:30:01
Reporting Period:: 2018-11-09

Accepted Time:: 2019-02-14 17:30:01
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1708493	Harpoon Therapeutics Inc.	HARP	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1247851	Ronald Hunt	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036		Yes	No	Yes	No

Reported Non-Derivative Transactions

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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	1,564,272	$0.00	1,564,272	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2019-02-12	464,281	$0.00	2,028,553	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2019-02-12	464,281	$0.00	464,281	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2019-02-12	214,286	$14.00	2,242,839	No	4	P	Indirect	See footnote
Common Stock	Acquisiton	2019-02-12	214,285	$14.00	678,566	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote
No	4	P	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C Convertible Preferred Stock	Acquisiton	2018-11-09	464,281	$0.00	464,281	$0.00
Common Stock	Series C Convertible Preferred Stock	Acquisiton	2018-11-09	464,281	$0.00	464,281	$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 Convertible Preferred Stock	Disposition	2019-02-12	1,564,272	$0.00	1,564,272	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2019-02-12	464,281	$0.00	464,281	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2019-02-12	464,281	$0.00	464,281	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
464,281		No	4	P	Indirect
464,281		No	4	P	Indirect
20,335	2028-12-19	No	4	A	Direct
0		No	4	C	Indirect
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.
These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac A. Manke, the managers of BPO Management-II (the "BPO-II Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
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 the continuing service of the Reporting Person on each vesting date.