Filing Details
- Accession Number:
- 0001567619-20-021287
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-17 17:39:31
- Reporting Period:
- 2020-12-15
- Accepted Time:
- 2020-12-17 17:39:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1650648 | 4D Molecular Therapeutics Inc. | FDMT | Biological Products, (No Disgnostic Substances) (2836) | 473506994 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1771680 | Ling Dung Tony Yao | C/O 4D Molecular Therapeutics Inc. 5858 Horton Street #455 Emeryville CA 94608 | Yes | No | No | 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 | 2020-12-15 | 2,864 | $0.00 | 2,864 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2020-12-15 | 455,326 | $0.00 | 455,326 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2020-12-15 | 180,554 | $0.00 | 635,880 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2020-12-15 | 425,000 | $23.00 | 1,060,880 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | See Footnote |
| 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 | 2020-12-15 | 2,864 | $0.00 | 2,864 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2020-12-15 | 455,326 | $0.00 | 455,326 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2020-12-15 | 180,554 | $0.00 | 180,554 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
- The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
Billionaire Hedge Funds
