Filing Details
- Accession Number:
- 0001209191-19-010320
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-02-14 17:34:03
- Reporting Period:
- 2019-02-12
- Accepted Time:
- 2019-02-14 17:34:03
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1708493 | Harpoon Therapeutics Inc. | HARP | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1687078 | Mpm Oncology Impact Management Lp | C/O Mpm Capital 450 Kendall Street Cambridge MA 02142 | No | No | Yes | No | |
1691428 | L.p. Fund Impact Oncology Ubs | C/O Mpm Capital 450 Kendall Street Cambridge MA 02142 | No | No | Yes | No | |
1721035 | Mpm Oncology Impact Management Gp Llc | C/O Mpm Capital 450 Kendall Street Cambridge MA 02142 | No | No | Yes | No | |
1721036 | L.p. Management (Cayman) Fund Impact Oncology | C/O Mpm Capital 450 Kendall Street Cambridge MA 02142 | 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 | 2019-02-12 | 1,525,165 | $0.00 | 1,525,165 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2019-02-12 | 1,578,755 | $0.00 | 3,103,920 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2019-02-12 | 417,853 | $0.00 | 3,521,773 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2019-02-12 | 127,096 | $0.05 | 3,648,869 | No | 4 | X | Direct | |
Common Stock | Disposition | 2019-02-12 | 447 | $14.00 | 3,648,422 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2019-02-12 | 250,000 | $14.00 | 3,898,422 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | X | Direct | |
No | 4 | S | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred Stock | Disposition | 2019-02-12 | 1,525,165 | $0.00 | 1,525,165 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2019-02-12 | 1,578,755 | $0.00 | 1,578,755 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2019-02-12 | 417,853 | $0.00 | 417,853 | $0.00 |
Common Stock | Common Stock Warrant (Right to Buy) | Disposition | 2019-02-12 | 76,258 | $0.00 | 76,258 | $0.05 |
Common Stock | Common Stock Warrant (Right to Buy) | Disposition | 2019-02-12 | 50,838 | $0.00 | 50,838 | $0.05 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | 2016-11-01 | 2026-11-01 | No | 4 | X | Direct |
0 | 2017-01-10 | 2027-01-10 | No | 4 | X | Direct |
Footnotes
- All series of convertible preferred stock will automatically convert into the number of shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, immediately prior to the closing of the Issuer'sinitial public offering and have no expiration date.
- The reported securities are held in the account of UBS Oncology Impact Fund L.P. ("UBS Oncology"). MPM Oncology Impact Management GP LLC ("Oncology GP LLC") is the General Partner of MPM Oncology Impact Management LP, the General Partner of Oncology Impact Fund (Cayman) Management L.P., the General Partner of UBS Oncology. Ansbert Gadicke is the Managing Member of Oncology GP LLC.
- The Reporting Persons disclaim beneficial ownership of the securities except to the extent of their respective pecuniary interests therein.
- On February 12, 2019, UBS Oncology exercised warrants to purchase an aggregate of 127,096 shares of the Issuer's common stock for $0.0492 per share. UBS Oncology paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 447 of the warrant shares to pay the exercise price and issuing to UBS Oncology the remaining 126,649 shares.