Filing Details
- Accession Number:
- 0001104659-20-113186
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-07 21:30:49
- Reporting Period:
- 2020-10-05
- Accepted Time:
- 2020-10-07 21:30:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1781983 | Aprea Therapeutics Inc. | APRE | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1219014 | M Scott Rocklage | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1240357 | D John Diekman | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1589314 | 5Am Partners Iv, Llc | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1589315 | 5Am Ventures Iv, L.p. | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1593361 | 5Am Co-Investors Iv, L.p. | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1598549 | J. Andrew Schwab | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1664281 | Kush Parmar | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1753000 | 5Am Opportunities I, L.p. | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes | |
| 1790778 | 5Am Opportunities I (Gp), Llc | 501 2Nd Street, Suite 350 San Francisco CA 94107 | No | No | No | Yes |
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 | Disposition | 2020-10-05 | 175,000 | $25.30 | 138,497 | No | 4 | S | Indirect | See footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See footnotes |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,823,192 | Indirect | See footnotes |
| Common Stock | 75,965 | Indirect | See footnotes |
Footnotes
- Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
- 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
- Shares are held directly by 5AM Ventures IV, L.P.
- 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
- Shares are held directly by 5AM Co-Investors IV, L.P.
Billionaire Hedge Funds
