Ho Gregory P. 4

Accession 0001628280-21-020059

CIK 0001615055other

View on SEC.gov Company Profile

Filed

Oct 13, 8:00 PM ET

Accepted

Oct 14, 4:22 PM ET

Size

53.5 KB

Accession

0001628280-21-020059

Insider Transaction Report

Form 4

Period: 2021-10-12

IsoPlexis CorpISO

Ho Gregory P.

Director10% Owner

Transactions

Conversion
Common Stock
2021-10-12+894,128→ 894,128 total(indirect: See Note 3)
Conversion
Common Stock
2021-10-12+338,959→ 1,233,087 total(indirect: See Note 3)
Conversion
Common Stock
2021-10-12+739,033→ 2,602,329 total(indirect: See Note 3)
Conversion
Common Stock
2021-10-12+435,136→ 3,726,732 total(indirect: See Note 3)
Conversion
Common Stock
2021-10-12+415,337→ 1,619,201 total(indirect: See Note 10)
Conversion
Common Stock
2021-10-12+215,950→ 1,835,151 total(indirect: See Note 10)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−78,999→ 0 total(indirect: See Note 3)
→ Common Stock (631,992 underlying)
Conversion
Common Stock
2021-10-12+630,209→ 1,863,296 total(indirect: See Note 3)
Conversion
Common Stock
2021-10-12+689,267→ 3,291,596 total(indirect: See Note 3)
Conversion
Common Stock
2021-10-12+459,781→ 1,203,864 total(indirect: See Note 10)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−7,945→ 0 total(indirect: See Note 15)
→ Common Stock (63,560 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−73,571→ 0 total(indirect: See Note 3)
→ Common Stock (588,568 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2021-10-12−53,480→ 0 total(indirect: See Note 10)
→ Common Stock (427,840 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2021-10-12−107,604→ 0 total(indirect: See Note 3)
→ Common Stock (860,832 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−39,726→ 0 total(indirect: See Note 3)
→ Common Stock (317,808 underlying)
Conversion
Series A-2 Redeemable Convertible Preferred Stock
2021-10-12−87,398→ 0 total(indirect: See Note 10)
→ Common Stock (699,184 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−84,347→ 0 total(indirect: See Note 3)
→ Common Stock (674,776 underlying)
Conversion
Series B-2 Redeemable Convertible Preferred Stock
2021-10-12−47,403→ 0 total(indirect: See Note 10)
→ Common Stock (379,224 underlying)
Conversion
Series C Redeemable Convertible Preferred Stock
2021-10-12−24,833→ 0 total(indirect: See Note 10)
→ Common Stock (198,664 underlying)
Conversion
Common Stock
2021-10-12+744,083→ 744,083 total(indirect: See Note 10)
Conversion
Common Stock
2021-10-12+67,642→ 67,642 total(indirect: See Note 15)
Conversion
Series C-2 Redeemable Convertible Preferred Stock
2021-10-12−51,522→ 0 total(indirect: See Note 3)
→ Common Stock (412,176 underlying)

Footnotes (15)

[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]The Reporting Person is a managing member of SMC GP. SMC GP is the managing member of SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"). PEH GP is the general partner of SMC Private Equity Holdings, LP ("PEH"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by PEH in which the Reporting Person has no pecuniary interest.
[F11]Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F12]Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F13]Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F14]Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F15]The Reporting Person is a managing member of SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"). Holdings GP is the general partner of SMC Holdings II, LP ("Holdings"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by Holdings in which the Reporting Person has no pecuniary interest.
[F2]Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F3]The Reporting Person is a managing member of Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"). SMC GP is the managing member of SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"). GCII GP is the general partner of SMC Growth Capital Partners II, LP ("GCII"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GCII in which the Reporting Person has no pecuniary interest.
[F4]Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F5]Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F6]Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F7]Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F8]Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
[F9]Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

Documents

1 file

4
wf-form4_163424290337641.xmlPrimary
FORM 4

Issuer

IsoPlexis Corp

CIK 0001615055

→

Entity typeother

Related Parties

filerCIK 0001549584

Filing Metadata

Form type: 4
Filed: Oct 13, 8:00 PM ET
Accepted: Oct 14, 4:22 PM ET
Size: 53.5 KB

View on SEC.gov