Filing Details
- Accession Number:
- 0000899243-23-009741
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-27 17:37:00
- Reporting Period:
- 2023-03-23
- Accepted Time:
- 2023-03-27 17:37:00
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1708493 | Harpoon Therapeutics Inc. | HARP | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1247851 | Ronald Hunt | C/O New Leaf Venture Partners 156 Fifth Avenue, Suite 820 New York NY 10010 | Yes | 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 |
---|---|---|---|---|---|---|---|---|---|---|
8.000% Series A Redeemable Preferred Stock | Acquisiton | 2023-03-23 | 10,000 | $1,000.00 | 10,000 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrant (Right to Buy) | Acquisiton | 2023-03-23 | 2,994,305 | $0.00 | 2,994,305 | $0.98 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,994,305 | 2023-03-23 | 2031-03-23 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 913,860 | Indirect | See Footnote |
Common Stock | 2,242,839 | Indirect | See Footnote |
Footnotes
- Shares of the Issuer's non-convertible, non-voting 8.000% Series A Redeemable Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), were purchased by New Leaf Biopharma Opportunities II, L.P. ("BPO-II") in the Issuer's private placement of Series A Preferred Stock and warrants and pursuant to a Securities Purchase Agreement, dated March 22, 2023, by and among the Issuer, BPO-II and the other purchasers named therein. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation filed as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 27, 2023. The shares of Series A Preferred Stock and Warrants acquired by BPO-II were purchased at a price representative of $1,000 per share for the Series A Preferred Stock.
- These shares are held directly by BPO-II. The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
- The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
- These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
- The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.