New Leaf Ventures III, L.P.'s Form 4 filing
Harpoon Therapeutics, Inc. (HARP) · filed Aug 12, 2021
- Accession no.
- 0000899243-21-032748
- Filed
- Aug 12, 2021, 4:15 PM ET
- Trade date
- Jan 11, 2021
- Filing delay
- 213 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction. Open-market purchases total $4.00M. It was filed 213 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| New Leaf Ventures III, L.P.CIK 0001625653 | 10% Owner |
| New Leaf Venture Associates III, L.P.CIK 0001625656 | 10% Owner |
| New Leaf Venture Management III, L.L.C.CIK 0001625657 | 10% Owner |
| New Leaf Biopharma Opportunities II, L.P.CIK 0001735293 | 10% Owner |
| New Leaf BPO Management II, L.L.CCIK 0001740755 | 10% Owner |
| New Leaf BPO Associates II, L.P.CIK 0001740783 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 11, 2021 | Common Stock | PPurchaseAcquired | +235,294 | $17.00 | +$3,999,998 | 913,860 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
As of the filing date of this Form 4, the NLV Funds, in the aggregate, beneficially own less than ten percent of the Issuer's outstanding common stock and are no longer subject to Section 16.