Northpond Ventures GP, LLC's Form 4 filing
DICE Therapeutics, Inc. (DICE) · filed Sep 20, 2021
- Accession no.
- 0000899243-21-036646
- Filed
- Sep 20, 2021, 9:19 PM ET
- Trade date
- Sep 17, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market purchases total $4.00M. It was filed 3 days after the trade.
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 |
|---|---|
| Northpond Ventures GP, LLCCIK 0001867470 | 10% Owner |
| Northpond Ventures, LPCIK 0001867472 | 10% Owner |
| Rubin Michael P.CIK 0001867627 | 10% Owner |
| Northpond Ventures II GP, LLCCIK 0001869114 | 10% Owner |
| Northpond Ventures II, LPCIK 0001869128 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 17, 2021 | Common Stock | CConversionAcquired | +2,603,075 | – | – | 2,603,075 | Indirect | |
| Sep 17, 2021 | Common Stock | CConversionAcquired | +454,796 | – | – | 3,057,871 | Indirect | |
| Sep 17, 2021 | Common Stock | PPurchaseAcquired | +235,000 | $17.00 | +$3,995,000 | 3,292,871 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 17, 2021 | Common Stock | CConversionDisposed | −1,735,388 | – | – | 0 | Indirect | |
| Sep 17, 2021 | Common Stock | CConversionDisposed | −867,687 | – | – | 0 | Indirect | |
| Sep 17, 2021 | Common Stock | CConversionDisposed | −454,796 | – | – | 0 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.