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3//SEC Filing

Clarus Ventures III GP, L.P. 3

Accession 0000899243-20-020242

CIK 0001528115other
View on SEC.govCompany Profile

Filed

Jul 22, 8:00 PM ET

Accepted

Jul 23, 7:01 PM ET

Size

23.5 KB

Accession

0000899243-20-020242

Insider Transaction Report

Form 3
Period: 2020-07-23
Annexon, Inc.ANNX
Blackstone Holdings I/II GP L.L.C.
10% Owner
Holdings

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)
Blackstone Group Management L.L.C.
10% Owner
Holdings

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)
Clarus Lifesciences III, L.P.
10% Owner
Holdings

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)
Blackstone Clarus III L.L.C.
10% Owner
Holdings

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)
Blackstone Inc.
10% Owner
Holdings

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)
SCHWARZMAN STEPHEN A
10% Owner
Holdings

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)
Clarus Ventures III GP, L.P.
10% Owner
Holdings

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)
Blackstone Holdings II L.P.
10% Owner
Holdings

  • Series D Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (2,109,407 underlying)

  • Series A-1 Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (5,666,667 underlying)

  • Series C Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (6,148,147 underlying)

  • Series B Redeemable Convertible Preferred Stock

    (indirect: See Footnotes)
    → Common Stock (8,370,685 underlying)
Footnotes (7)
  • [F1]The shares of Series A-1 Redeemable Convertible Preferred Stock of the Issuer will automatically convert on a 1-for-8.81 basis into common stock of the Issuer ("Common Stock") immediately prior to the closing of the Issuer's initial public offering.
  • [F2]The shares of Series B Redeemable Convertible Preferred Stock of the Issuer will automatically convert on a 1-for-8.81 basis into common stock of the Issuer ("Common Stock") immediately prior to the closing of the Issuer's initial public offering.
  • [F3]The shares of Series C Redeemable Convertible Preferred Stock of the Issuer will automatically convert on a 1-for-8.81 basis into common stock of the Issuer ("Common Stock") immediately prior to the closing of the Issuer's initial public offering.
  • [F4]The shares of Series D Redeemable Convertible Preferred Stock of the Issuer will automatically convert on a 1-for-8.81 basis into common stock of the Issuer ("Common Stock") immediately prior to the closing of the Issuer's initial public offering.
  • [F5]Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.
  • [F6]Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.
  • [F7]Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Documents

1 file

Issuer

Annexon, Inc.

CIK 0001528115

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001620148

Filing Metadata

Form type
3
Filed
Jul 22, 8:00 PM ET
Accepted
Jul 23, 7:01 PM ET
Size
23.5 KB
View on SEC.gov