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Filing Details

Accession Number:: 0000899243-20-020805
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-30 20:00:16
Reporting Period:: 2020-07-28

Accepted Time:: 2020-07-30 20:00:16
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1528115	Annexon Inc.	ANNX	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1070844	A Stephen Schwarzman	C/O The Blackstone Group Inc. 345 Park Avenue New York NY 10154	No	No	Yes	No
1393818	Blackstone Group Inc	345 Park Avenue New York NY 10154	No	No	Yes	No
1404071	L.l.c. Management Group Blackstone	C/O The Blackstone Group Inc. 345 Park Avenue New York NY 10154	No	No	Yes	No
1464695	L.l.c. Gp I/Ii Holdings Blackstone	C/O The Blackstone Group Inc. 345 Park Avenue New York NY 10154	No	No	Yes	No
1484870	L.p. Ii Holdings Blackstone	C/O The Blackstone Group Inc. 345 Park Avenue New York NY 10154	No	No	Yes	No
1597143	Clarus Lifesciences Iii, L.p.	101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1620148	Clarus Ventures Iii Gp, L.p.	101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1762202	L.l.c. Iii Clarus Blackstone	C/O The Blackstone Group Inc. 345 Park Avenue New York NY 10154	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	2020-07-28	643,208	$0.00	643,208	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2020-07-28	950,134	$0.00	1,593,342	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2020-07-28	697,860	$0.00	2,291,202	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2020-07-28	239,433	$0.00	2,530,635	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2020-07-28	200,000	$17.00	2,730,635	No	4	P	Indirect	See Footnotes

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-1 Redeemable Convertible Preferred Stock	Disposition	2020-07-28	5,666,667	$0.00	643,208	$0.00
Common Stock	Series B Redeemable Convertible Preferred Stock	Disposition	2020-07-28	8,370,685	$0.00	950,134	$0.00
Common Stock	Series C Redeemable Convertible Preferred Stock	Disposition	2020-07-28	6,148,147	$0.00	697,860	$0.00
Common Stock	Series D Redeemable Convertible Preferred Stock	Disposition	2020-07-28	2,109,407	$0.00	239,433	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

The shares of Series A-1 Redeemable Convertible Preferred Stock of the Issuer were automatically converted on a 1-for-8.81 basis into common stock of the Issuer ("Common Stock") immediately prior to the closing of the Issuer's initial public offering.
The shares of Series B Redeemable Convertible Preferred Stock of the Issuer were automatically converted on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
The shares of Series C Redeemable Convertible Preferred Stock of the Issuer were automatically converted on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
The shares of Series D Redeemable Convertible Preferred Stock of the Issuer were automatically converted on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.
Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.
Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.