Filing Details
- Accession Number:
- 0001493152-21-006147
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-16 19:57:26
- Reporting Period:
- 2021-03-16
- Accepted Time:
- 2021-03-16 19:57:26
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1718852 | Prometheus Biosciences Inc. | RXDX | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1493215 | Rtw Investments, Lp | 40 10Th Avenue, Floor 7 New York NY 10014 | No | No | Yes | No | |
1493280 | Roderick Wong | C/O Rtw Investments, Lp 40 10Th Avenue, Floor 7 New York NY 10014 | 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 | 2021-03-16 | 800,000 | $19.00 | 800,000 | No | 4 | P | Indirect | By RTW |
Common Stock | Acquisiton | 2021-03-16 | 1,017,769 | $0.00 | 1,817,769 | No | 4 | C | Indirect | By RTW |
Common Stock | Acquisiton | 2021-03-16 | 1,446,262 | $0.00 | 3,264,031 | No | 4 | C | Indirect | By RTW |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By RTW |
No | 4 | C | Indirect | By RTW |
No | 4 | C | Indirect | By RTW |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series D-1 Preferred Stock | Disposition | 2021-03-16 | 10,177,703 | $0.00 | 1,017,769 | $0.00 |
Common Stock | Series D-2 Preferred Stock | Disposition | 2021-03-16 | 14,462,623 | $0.00 | 1,446,262 | $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
- Consists of shares of common stock held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "RTW Funds").
- The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein
- Each share of the Issuer's Series D-1 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-1 Preferred Stock had no expiration date.
- Each share of the Issuer's Series D-2 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-2 Preferred Stock had no expiration date.