4//SEC Filing
Lathi Vijay K 4
Accession 0000899243-23-020044
CIK 0001708493other
Filed
Oct 26, 8:00 PM ET
Accepted
Oct 27, 4:41 PM ET
Size
26.2 KB
Accession
0000899243-23-020044
Insider Transaction Report
Form 4
Transactions
- Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+85,750→ 85,750 total(indirect: See Footnote)Exercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (85,750 underlying) - Purchase
Common Stock
2023-10-25+171,500→ 395,783 total(indirect: See Footnote) - Purchase
Common Stock
2023-10-25+1,372,000→ 1,463,386 total - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+686,000→ 686,000 totalExercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (686,000 underlying)
Holdings
- 10,000
8.000% Series A Redeemable Preferred Stock
New Leaf Ventures III, L.P.
10% Owner
Transactions
- Purchase
Common Stock
2023-10-25+171,500→ 395,783 total(indirect: See Footnote) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+686,000→ 686,000 totalExercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (686,000 underlying) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+85,750→ 85,750 total(indirect: See Footnote)Exercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (85,750 underlying) - Purchase
Common Stock
2023-10-25+1,372,000→ 1,463,386 total
Holdings
- 10,000
8.000% Series A Redeemable Preferred Stock
Lathi Vijay K
10% Owner
Transactions
- Purchase
Common Stock
2023-10-25+171,500→ 395,783 total(indirect: See Footnote) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+85,750→ 85,750 total(indirect: See Footnote)Exercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (85,750 underlying) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+686,000→ 686,000 totalExercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (686,000 underlying) - Purchase
Common Stock
2023-10-25+1,372,000→ 1,463,386 total
Holdings
- 10,000
8.000% Series A Redeemable Preferred Stock
New Leaf BPO Management II, L.L.C
10% Owner
Transactions
- Purchase
Common Stock
2023-10-25+1,372,000→ 1,463,386 total - Purchase
Common Stock
2023-10-25+171,500→ 395,783 total(indirect: See Footnote) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+85,750→ 85,750 total(indirect: See Footnote)Exercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (85,750 underlying) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+686,000→ 686,000 totalExercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (686,000 underlying)
Holdings
- 10,000
8.000% Series A Redeemable Preferred Stock
Transactions
- Purchase
Common Stock
2023-10-25+171,500→ 395,783 total(indirect: See Footnote) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+686,000→ 686,000 totalExercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (686,000 underlying) - Purchase
Common Stock
2023-10-25+1,372,000→ 1,463,386 total - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+85,750→ 85,750 total(indirect: See Footnote)Exercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (85,750 underlying)
Holdings
- 10,000
8.000% Series A Redeemable Preferred Stock
New Leaf BPO Associates II, L.P.
10% Owner
Transactions
- Purchase
Common Stock
2023-10-25+1,372,000→ 1,463,386 total - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+85,750→ 85,750 total(indirect: See Footnote)Exercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (85,750 underlying) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+686,000→ 686,000 totalExercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (686,000 underlying) - Purchase
Common Stock
2023-10-25+171,500→ 395,783 total(indirect: See Footnote)
Holdings
- 10,000
8.000% Series A Redeemable Preferred Stock
Transactions
- Purchase
Common Stock
2023-10-25+171,500→ 395,783 total(indirect: See Footnote) - Purchase
Common Stock
2023-10-25+1,372,000→ 1,463,386 total - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+85,750→ 85,750 total(indirect: See Footnote)Exercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (85,750 underlying) - Purchase
Common Stock Warrant (Right to Buy)
2023-10-25+686,000→ 686,000 totalExercise: $5.83From: 2023-10-25Exp: 2026-10-25→ Common Stock (686,000 underlying)
Holdings
- 10,000
8.000% Series A Redeemable Preferred Stock
Footnotes (8)
- [F1]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.
- [F2]Shares reflect a 1:10 reverse stock split of the Issuer's Common Stock effective September 1, 2023.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]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.
- [F7]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.
- [F8]The exercise price is also subject to adjustment pursuant to the Common Stock Warrant issued on October 25, 2023.
Documents
Issuer
Harpoon Therapeutics, Inc.
CIK 0001708493
Entity typeother
Related Parties
1- filerCIK 0001340806
Filing Metadata
- Form type
- 4
- Filed
- Oct 26, 8:00 PM ET
- Accepted
- Oct 27, 4:41 PM ET
- Size
- 26.2 KB