Filing Details
- Accession Number:
- 0001104659-20-085649
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-22 16:30:13
- Reporting Period:
- 2020-07-21
- Accepted Time:
- 2020-07-22 16:30:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1807901 | Pandion Therapeutics Inc. | PAND | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1346824 | Ra Capital Management, L.p. | 200 Berkeley Street, 18Th Floor Boston MA 02116 | No | No | Yes | No | |
1384859 | Peter Kolchinsky | C/O Ra Capital Management, L.p. 200 Berkeley Street, 18Th Floor Boston MA 02116 | No | No | Yes | No | |
1619841 | M. Rajeev Shah | C/O Ra Capital Management, L.p. 200 Berkeley Street, 18Th Floor Boston MA 02116 | 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 | 2020-07-21 | 1,408,912 | $0.00 | 1,408,912 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2020-07-21 | 361,111 | $18.00 | 1,770,023 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Preferred Stock | Disposition | 2020-07-21 | 7,184,596 | $0.00 | 1,408,912 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect |
Footnotes
- The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering.
- These securities include (a) 789,068 shares held by RA Capital Healthcare Fund, L.P. (the "Fund"), (b) 126,725 shares held by a separately managed account (the "Account"), and (c) 493,119 shares held by RA Capital Nexus Fund, L.P. (the "Nexus Fund").
- RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund, the Account, and the Nexus Fund. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members.
- The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act"). They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii). To the extent that they might be deemed subject to Section 16, they disclaim beneficial ownership of securities held by the Fund or the Nexus Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein, and disclaim any pecuniary interest in securities held in the Account for purposes of Rule 16a-1(a)(2).
- Includes (a) 308,476 shares held by the Fund, (b) 33,423 shares held by the Account, and (c) 19,212 shares held by the Nexus Fund, in each case acquired in the Issuer's initial public offering.
- Includes (a) 1,097,544 shares held by the Fund, (b) 160,148 shares held by the Account, and (c) 512,331 shares held by the Nexus Fund.