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Filing Details

Accession Number:: 0001104659-19-064691
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-11-15 14:52:02
Reporting Period:: 2019-11-04

Accepted Time:: 2019-11-15 14:52:02
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1673772	Rapt Therapeutics Inc.	RAPT	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1200183	Leo Guthart	3 Expressway Plaza Roslyn Heights NY 11577	No	No	Yes	No
1615782	L.p. Fund Topspin	Three Expressway Plaza Roslyn Heights NY 11577	No	No	Yes	No
1685869	Lg Management, Llc	3 Expressway Plaza Roslyn Heights NY 11577	No	No	Yes	No
1745827	Topspin Biotech Fund Ii, L.p.	3 Expressway Plaza Roslyn Heights NY 11577	No	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	2019-11-04	415,000	$12.00	2,575,371	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
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 B Preferred Stock	Disposition	2019-11-04	1,641,666	$0.00	1,641,666	$0.00
Common Stock	Series C Preferred Stock	Disposition	2019-11-04	363,504	$0.00	363,504	$0.00
Common Stock	Series C-2 Preferred Stock	Disposition	2019-11-04	155,201	$0.00	155,201	$0.00

Exercise Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2019-11-04	No	4	C	Indirect
2019-11-04	No	4	C	Direct
2019-11-04	No	4	C	Direct

Footnotes

Consists of (1) 1,641,666 shares held of record by Topspin Biotech Fund II, LP; and (ii) 933,705 shares held of record by Topspin Fund, LP. Each of Topspin Biotech Fund II, LP and Topspin Fund, LP disclaims beneficial ownership of the shares held of record by the other.
Each share of Series B, C and C-2 Preferred Stock shown in Column 5 converted into one share of Common Stock automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. Giving effect to such conversion, the ownership by the reporting persons of the shares of the Issuer's common stock is as set forth in Note 1 above.
1,641,666 of such shares are held directly by Topspin Biotech Fund II, L.P. LG Management, LLC, the general partner of Topspin Biotech Fund II, L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.
933,705 of such shares are held directly by Topspin Fund L.P. LG Management, LLC, the general partner of Topspin Fund L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.