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Filing Details

Accession Number:: 0001387131-20-011272
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-17 21:15:50
Reporting Period:: 2020-12-15

Accepted Time:: 2020-12-17 21:15:50
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1650648	4D Molecular Therapeutics Inc.	FDMT	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1103804	Viking Global Investors Lp	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1133006	Andreas Ole Halvorsen	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1621842	C. David Ott	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1629472	Viking Global Opportunities Portfolio Gp Llc	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1629476	Viking Global Opportunities Gp Llc	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1629482	Viking Global Opportunities Illiquid Investments Sub-Master Lp	55 Railroad Avenue Greenwich CT 06830	No	No	Yes	No
1711393	Sharon Rose Shabet	55 Railroad Avenue Greenwich CT 06830	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	2020-12-15	2,004,581	$0.00	2,004,581	No	4	C	Indirect	See Explanation Responses
Common Stock	Acquisiton	2020-12-15	833,333	$0.00	2,837,914	No	4	C	Indirect	See Explanation Responses
Common Stock	Acquisiton	2020-12-15	1,100,000	$23.00	3,937,914	No	4	P	Indirect	See Explanation Responses

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Redeemable Convertible Preferred Stock	Disposition	2020-12-15	2,004,581	$0.00	2,004,581	$0.00
Common Stock	Series C Redeemable Convertible Preferred Stock	Disposition	2020-12-15	833,333	$0.00	833,333	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect
0			No	4	C	Indirect

Footnotes

Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date.
The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date.