Filing Details
- Accession Number:
- 0001062993-21-009543
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-14 17:07:50
- Reporting Period:
- 2021-10-12
- Accepted Time:
- 2021-10-14 17:07:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1615055 | Isoplexis Corp | ISO | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1164426 | Joseph Edelman | 51 Astor Place, 10Th Floor New York NY 10003 | No | No | Yes | No | |
| 1224962 | Perceptive Advisors Llc | 51 Astor Place, 10Th Floor New York NY 10003 | No | No | Yes | No | |
| 1249675 | Ltd Fund Master Sciences Life Perceptive | 51 Astor Place, 10Th Floor New York NY 10003 | No | No | Yes | No | |
| 1877077 | Pcof Eq Aiv Iii, Lp | 51 Astor Place, 10Th Floor New York NY 10003 | No | No | Yes | No | |
| 1877078 | Perceptive Credit Holdings Iii, Lp | 51 Astor Place, 10Th Floor New York NY 10003 | No | No | Yes | No | |
| 1877081 | Perceptive Credit Advisors, Llc | 51 Astor Place, 10Th Floor New York NY 10003 | 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 | 2021-10-12 | 2,704,587 | $0.00 | 2,704,587 | No | 4 | C | Indirect | By Perceptive Life Sciences Master Fund, Ltd. |
| Common Stock | Acquisiton | 2021-10-12 | 335,962 | $0.00 | 335,962 | No | 4 | C | Indirect | By Perceptive Credit Holdings III, LP |
| Common Stock | Acquisiton | 2021-10-12 | 204,949 | $0.00 | 204,949 | No | 4 | C | Indirect | By PCOF EQ AIV III, LP |
| Common Stock | Acquisiton | 2021-10-12 | 850,000 | $15.00 | 3,554,587 | No | 4 | P | Indirect | By Perceptive Life Sciences Master Fund, Ltd. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Perceptive Life Sciences Master Fund, Ltd. |
| No | 4 | C | Indirect | By Perceptive Credit Holdings III, LP |
| No | 4 | C | Indirect | By PCOF EQ AIV III, LP |
| No | 4 | P | Indirect | By Perceptive Life Sciences Master Fund, Ltd. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series D Redeemable Convertible Preferred Stock | Disposition | 2021-10-12 | 325,014 | $0.00 | 2,600,112 | $0.00 |
| Common Stock | Series D Redeemable Convertible Preferred Stock | Disposition | 2021-10-12 | 40,373 | $0.00 | 322,984 | $0.00 |
| Common Stock | Series D Redeemable Convertible Preferred Stock | Disposition | 2021-10-12 | 24,629 | $0.00 | 197,032 | $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 | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date.
- The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. ("Master Fund"). Perceptive Advisors LLC (the "Advisor") is the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
- The securities are directly held by Perceptive Credit Holdings III, LP ("PCH III"). Perceptive Credit Advisors, LLC ("Perceptive Credit") is the investment manager to PCH III. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
- The securities are directly held by PCOF EQ AIV III, LP ("PCOF"). Perceptive Credit is the investment manager to PCOF. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
- Includes 104,475 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
- Includes 12,978 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
- Includes 7,917 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
Billionaire Hedge Funds
