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Lathi Vijay K's Form 4 filing

Harpoon Therapeutics, Inc. (HARP) · filed Oct 27, 2023

Accession no.
0000899243-23-020044
Filed
Oct 27, 2023, 4:41 PM ET
Trade date
Oct 25, 2023
Filing delay
2 days
Rule 10b5-1 plan
Not checked

This filing lists 2 non-derivative transactions and 2 derivative transactions. It was filed 2 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.

Reporting owners on this filing
OwnerRelationship to the company
Lathi Vijay KCIK 000134080610% Owner
New Leaf Ventures III, L.P.CIK 000162565310% Owner
New Leaf Venture Associates III, L.P.CIK 000162565610% Owner
New Leaf Venture Management III, L.L.C.CIK 000162565710% Owner
New Leaf Biopharma Opportunities II, L.P.CIK 000173529310% Owner
New Leaf BPO Management II, L.L.CCIK 000174075510% Owner
New Leaf BPO Associates II, L.P.CIK 000174078310% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Oct 25, 2023Common StockPPurchaseAcquired+1,372,000–F1–1,463,386Direct
Oct 25, 2023Common StockPPurchaseAcquired+171,500–F1–395,783Indirect

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.

Derivative transactions
Trade dateSecurityTransactionUnderlying sharesUnit priceValueHeld afterOwnershipFlags
Oct 25, 2023Common StockPPurchaseAcquired+686,000–F1–686,000Direct
Oct 25, 2023Common StockPPurchaseAcquired+85,750–F1–85,750Indirect

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.

F1

Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant.

Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.

Read the full filing on SEC EDGAR (opens in a new tab)