4//SEC Filing
5AM Opportunities I (GP), LLC 4
Accession 0001104659-19-058504
CIK 0001759138other
Filed
Oct 30, 8:00 PM ET
Accepted
Oct 31, 6:03 PM ET
Size
22.2 KB
Accession
0001104659-19-058504
Insider Transaction Report
Form 4
5AM Partners V, LLC
10% Owner
Transactions
- Conversion
Common Stock
2019-10-29+3,214,721→ 3,214,721 total(indirect: See footnotes) - Conversion
Series A Preferred Stock
2019-10-29−3,146,551→ 0 total(indirect: See footnotes)→ Common Stock (2,097,700 underlying) - Purchase
Common Stock
2019-10-29$11.00/sh+454,545$4,999,995→ 454,545 total(indirect: See footnotes) - Conversion
Series B Preferred Stock
2019-10-29−1,675,532→ 0 total(indirect: See footnotes)→ Common Stock (1,117,021 underlying)
5AM Opportunities I, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2019-10-29+3,214,721→ 3,214,721 total(indirect: See footnotes) - Conversion
Series A Preferred Stock
2019-10-29−3,146,551→ 0 total(indirect: See footnotes)→ Common Stock (2,097,700 underlying) - Purchase
Common Stock
2019-10-29$11.00/sh+454,545$4,999,995→ 454,545 total(indirect: See footnotes) - Conversion
Series B Preferred Stock
2019-10-29−1,675,532→ 0 total(indirect: See footnotes)→ Common Stock (1,117,021 underlying)
5AM Opportunities I (GP), LLC
10% Owner
Transactions
- Purchase
Common Stock
2019-10-29$11.00/sh+454,545$4,999,995→ 454,545 total(indirect: See footnotes) - Conversion
Series B Preferred Stock
2019-10-29−1,675,532→ 0 total(indirect: See footnotes)→ Common Stock (1,117,021 underlying) - Conversion
Common Stock
2019-10-29+3,214,721→ 3,214,721 total(indirect: See footnotes) - Conversion
Series A Preferred Stock
2019-10-29−3,146,551→ 0 total(indirect: See footnotes)→ Common Stock (2,097,700 underlying)
PARMAR KUSH
10% Owner
Transactions
- Purchase
Common Stock
2019-10-29$11.00/sh+454,545$4,999,995→ 454,545 total(indirect: See footnotes) - Conversion
Series B Preferred Stock
2019-10-29−1,675,532→ 0 total(indirect: See footnotes)→ Common Stock (1,117,021 underlying) - Conversion
Common Stock
2019-10-29+3,214,721→ 3,214,721 total(indirect: See footnotes) - Conversion
Series A Preferred Stock
2019-10-29−3,146,551→ 0 total(indirect: See footnotes)→ Common Stock (2,097,700 underlying)
ROCKLAGE SCOTT M
10% Owner
Transactions
- Conversion
Common Stock
2019-10-29+3,214,721→ 3,214,721 total(indirect: See footnotes) - Conversion
Series A Preferred Stock
2019-10-29−3,146,551→ 0 total(indirect: See footnotes)→ Common Stock (2,097,700 underlying) - Purchase
Common Stock
2019-10-29$11.00/sh+454,545$4,999,995→ 454,545 total(indirect: See footnotes) - Conversion
Series B Preferred Stock
2019-10-29−1,675,532→ 0 total(indirect: See footnotes)→ Common Stock (1,117,021 underlying)
5AM Ventures V, L.P.
10% Owner
Transactions
- Purchase
Common Stock
2019-10-29$11.00/sh+454,545$4,999,995→ 454,545 total(indirect: See footnotes) - Conversion
Series B Preferred Stock
2019-10-29−1,675,532→ 0 total(indirect: See footnotes)→ Common Stock (1,117,021 underlying) - Conversion
Common Stock
2019-10-29+3,214,721→ 3,214,721 total(indirect: See footnotes) - Conversion
Series A Preferred Stock
2019-10-29−3,146,551→ 0 total(indirect: See footnotes)→ Common Stock (2,097,700 underlying)
Schwab Andrew J.
10% Owner
Transactions
- Conversion
Common Stock
2019-10-29+3,214,721→ 3,214,721 total(indirect: See footnotes) - Conversion
Series B Preferred Stock
2019-10-29−1,675,532→ 0 total(indirect: See footnotes)→ Common Stock (1,117,021 underlying) - Conversion
Series A Preferred Stock
2019-10-29−3,146,551→ 0 total(indirect: See footnotes)→ Common Stock (2,097,700 underlying) - Purchase
Common Stock
2019-10-29$11.00/sh+454,545$4,999,995→ 454,545 total(indirect: See footnotes)
Footnotes (5)
- [F1]These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.
- [F2]Shares are held directly by 5AM Ventures V, L.P. ("5AM V").
- [F3]5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Preferred Stock held directly by 5AM V, except to the extent of its or his pecuniary interest therein.
- [F4]Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities").
- [F5]5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
Documents
Issuer
Cabaletta Bio, Inc.
CIK 0001759138
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001790778
Filing Metadata
- Form type
- 4
- Filed
- Oct 30, 8:00 PM ET
- Accepted
- Oct 31, 6:03 PM ET
- Size
- 22.2 KB