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Filing Details

Accession Number:: 0001213900-21-023652
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-04-29 21:10:51
Reporting Period:: 2021-04-27

Accepted Time:: 2021-04-29 21:10:51
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1445499	Impel Neuropharma Inc	IMPL	Pharmaceutical Preparations (2834)	263058238

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1618788	Vivo Capital Fund Viii, L.p.	192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1618789	Vivo Capital Viii, Llc	C/O Vivo Capital Llc 192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1628048	Vivo Capital Surplus Fund Viii, L.p.	192 Lytton Avenue Palo Alto CA 94301	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	2021-04-27	710,190	$0.00	710,190	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	98,068	$0.00	98,068	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	474,713	$0.00	1,184,903	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	65,552	$0.00	163,620	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	440,119	$0.00	1,625,022	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	60,813	$0.00	224,433	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	315,328	$0.00	1,940,350	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	43,550	$0.00	267,983	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	89,145	$13.50	2,029,495	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	12,311	$13.50	280,294	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	505,620	$15.00	2,535,115	No	4	P	Indirect	See footnote
Common Stock	Acquisiton	2021-04-27	69,380	$15.00	349,674	No	4	P	Indirect	See footnote

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C-1 Redeemable Convertible Preferred Stock	Disposition	2021-04-27	11,628,174	$0.00	710,190	$0.00
Common Stock	Series C-1 Redeemable Convertible Preferred Stock	Disposition	2021-04-27	1,605,711	$0.00	98,068	$0.00
Common Stock	Series C-2 Redeemable Convertible Preferred Stock	Disposition	2021-04-27	7,772,634	$0.00	474,713	$0.00
Common Stock	Series C-2 Redeemable Convertible Preferred Stock	Disposition	2021-04-27	1,073,308	$0.00	65,552	$0.00
Common Stock	Series C-3 Redeemable Convertible Preferred Stock	Disposition	2021-04-27	7,206,216	$0.00	440,119	$0.00
Common Stock	Series C-3 Redeemable Convertible Preferred Stock	Disposition	2021-04-27	995,714	$0.00	60,813	$0.00
Common Stock	Series D Redeemable Convertible Preferred Stock	Disposition	2021-04-27	5,162,969	$0.00	315,328	$0.00
Common Stock	Series D Redeemable Convertible Preferred Stock	Disposition	2021-04-27	713,064	$0.00	43,550	$0.00
Common Stock	5% Convertible Note due 2021	Disposition	2021-04-27	0	$0.00	89,145	$13.50
Common Stock	5% Convertible Note due 2021	Disposition	2021-04-27	0	$0.00	12,311	$13.50

Expiration Date	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
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
2021-12-31	No	4	C	Indirect
2021-12-31	No	4	C	Indirect

Footnotes

Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis.
The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest is automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at $13.50 per share (90% of the IPO price).
The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.
The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.