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Filing Details

Accession Number:: 0000899243-23-020044
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-10-27 16:41:26
Reporting Period:: 2023-10-25

Accepted Time:: 2023-10-27 16:41:26
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1708493	Harpoon Therapeutics Inc.	HARP	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1340806	K Vijay Lathi	C/O New Leaf Ventures 156 Fifth Avenue, Suite 830 New York NY 10010	No	No	Yes	No
1625653	New Leaf Ventures Iii, L.p.	C/O New Leaf Ventures 156 Fifth Avenue, Suite 830 New York NY 10010	No	No	Yes	No
1625656	New Leaf Venture Associates Iii, L.p.	C/O New Leaf Ventures 156 Fifth Avenue, Suite 830 New York NY 10010	No	No	Yes	No
1625657	New Leaf Venture Management Iii, L.l.c.	C/O New Leaf Ventures 156 Fifth Avenue, Suite 830 New York NY 10010	No	No	Yes	No
1735293	New Leaf Biopharma Opportunities Ii, L.p.	C/O New Leaf Ventures 156 Fifth Avenue, Suite 820 New York NY 10010	No	No	Yes	No
1740755	New Leaf Bpo Management Ii, L.l.c	C/O New Leaf Ventures 156 Fifth Avenue, Suite 830 New York NY 10010	No	No	Yes	No
1740783	New Leaf Bpo Associates Ii, L.p.	C/O New Leaf Ventures 156 Fifth Avenue, Suite 830 New York NY 10010	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	2023-10-25	1,372,000	$0.00	1,463,386	No	4	P	Direct
Common Stock	Acquisiton	2023-10-25	171,500	$0.00	395,783	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
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	Common Stock Warrant (Right to Buy)	Acquisiton	2023-10-25	686,000	$0.00	686,000	$5.83
Common Stock	Common Stock Warrant (Right to Buy)	Acquisiton	2023-10-25	85,750	$0.00	85,750	$5.83

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
686,000	2023-10-25	2026-10-25	No	4	P	Direct
85,750	2023-10-25	2026-10-25	No	4	P	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
8.000% Series A Redeemable Preferred Stock	10,000	Direct

Footnotes

Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant.
Shares reflect a 1:10 reverse stock split of the Issuer's Common Stock effective September 1, 2023.
These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("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.
Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, 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.
Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each 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.
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 exercise price is also subject to adjustment pursuant to the Common Stock Warrant issued on October 25, 2023.