Home/Filings/4/0001104659-21-126233

4//SEC Filing

Steffens John 4

Accession 0001104659-21-126233

CIK 0001615055other

View on SEC.gov Company Profile

Filed

Oct 13, 8:00 PM ET

Accepted

Oct 14, 4:11 PM ET

Size

71.1 KB

Accession

0001104659-21-126233

Insider Transaction Report

Form 4

Period: 2021-10-12

IsoPlexis CorpISO

SMC Growth Capital II GP, LLC

10% Owner

Transactions

Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)

SMC Growth Capital Partners II, LP

10% Owner

Transactions

Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)

Spring Mountain Capital G.P., LLC

10% Owner

Transactions

Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)
Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)

SMC Private Equity Holdings GP, LLC

10% Owner

Transactions

Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)

SMC Private Equity Holdings, LP

10% Owner

Transactions

Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)

Steffens John

10% Owner

Transactions

Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)
Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)

SMC Holdings II G.P., LLC

10% Owner

Transactions

Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)
Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)

SMC Holdings II, LP

10% Owner

Transactions

Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)

Ho Gregory P.

Director10% Owner

Transactions

Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (699,184 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: By SMC Holdings II, LP)
→ Common Stock (63,560 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (379,224 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (631,992 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (198,664 underlying)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: By SMC Holdings II, LP)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (317,808 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (588,568 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: By SMC Private Equity Holdings, LP)
→ Common Stock (427,840 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (674,776 underlying)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (860,832 underlying)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: By SMC Growth Capital Partners II, LP)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: By SMC Private Equity Holdings, LP)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: By SMC Growth Capital Partners II, LP)
→ Common Stock (412,176 underlying)

Footnotes (16)

[F1]Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
[F10]Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F11]Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F12]Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F13]Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F14]Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F15]Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F16]Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F2]The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
[F3]The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
[F4]The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
[F5]Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F6]Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F7]Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F8]Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F9]Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

Documents

1 file

4
tm2129897-1_4seq1.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

IsoPlexis Corp

CIK 0001615055

→

Entity typeother

Related Parties

filerCIK 0001373619

Filing Metadata

Form type: 4
Filed: Oct 13, 8:00 PM ET
Accepted: Oct 14, 4:11 PM ET
Size: 71.1 KB

View on SEC.gov