4//SEC Filing
Clarus Lifesciences III, L.P. 4
Accession 0000899243-20-020805
CIK 0001528115other
Filed
Jul 29, 8:00 PM ET
Accepted
Jul 30, 8:00 PM ET
Size
37.0 KB
Accession
0000899243-20-020805
Insider Transaction Report
Form 4
Annexon, Inc.ANNX
Clarus Lifesciences III, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2020-07-28+950,134→ 1,593,342 total(indirect: See Footnotes) - Conversion
Series B Redeemable Convertible Preferred Stock
2020-07-28−8,370,685→ 0 total(indirect: See Footnotes)→ Common Stock (950,134 underlying) - Conversion
Common Stock
2020-07-28+643,208→ 643,208 total(indirect: See Footnotes) - Conversion
Common Stock
2020-07-28+697,860→ 2,291,202 total(indirect: See Footnotes) - Conversion
Series A-1 Redeemable Convertible Preferred Stock
2020-07-28−5,666,667→ 0 total(indirect: See Footnotes)→ Common Stock (643,208 underlying) - Purchase
Common Stock
2020-07-28$17.00/sh+200,000$3,400,000→ 2,730,635 total(indirect: See Footnotes) - Conversion
Series C Redeemable Convertible Preferred Stock
2020-07-28−6,148,147→ 0 total(indirect: See Footnotes)→ Common Stock (697,860 underlying) - Conversion
Series D Redeemable Convertible Preferred Stock
2020-07-28−2,109,407→ 0 total(indirect: See Footnotes)→ Common Stock (239,433 underlying) - Conversion
Common Stock
2020-07-28+239,433→ 2,530,635 total(indirect: See Footnotes)
Footnotes (7)
- [F1]The shares of Series A-1 Redeemable Convertible Preferred Stock of the Issuer were automatically converted 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 were automatically converted on a 1-for-8.81 basis into 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 were automatically converted on a 1-for-8.81 basis into 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 were automatically converted on a 1-for-8.81 basis into 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
Issuer
Annexon, Inc.
CIK 0001528115
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001597143
Filing Metadata
- Form type
- 4
- Filed
- Jul 29, 8:00 PM ET
- Accepted
- Jul 30, 8:00 PM ET
- Size
- 37.0 KB