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
  1. 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.
  2. 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").
  3. 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.
  4. 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).
  5. 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.
  6. 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.