Third Rock Ventures V, L.P.'s Form 4 filing
CARGO Therapeutics, Inc. (CRGX) · filed Nov 14, 2023
- Accession no.
- 0000899243-23-020350
- Filed
- Nov 14, 2023, 7:08 PM ET
- Trade date
- Nov 14, 2023
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market purchases total $20.0M. It was filed on the trade date.
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 |
|---|---|
| Third Rock Ventures V, L.P.CIK 0001778071 | 10% Owner |
| Third Rock Ventures VI, L.P.CIK 0001931056 | 10% Owner |
| Third Rock Ventures GP V, LPCIK 0001977498 | 10% Owner |
| Third Rock Ventures GP VI, L.P.CIK 0001977499 | 10% Owner |
| TRV GP VI, LLCCIK 0001990716 | 10% Owner |
| TRV GP V, LLCCIK 0001990717 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2023 | Common Stock | CConversionAcquired | +1,737,216 | –F2 | – | 1,737,216 | Direct | |
| Nov 14, 2023 | Common Stock | CConversionAcquired | +473,786 | –F2 | – | 473,786 | Indirect | |
| Nov 14, 2023 | Common Stock | PPurchaseAcquired | +1,333,333 | $15.00 | +$19,999,995 | 1,807,119 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2023 | Common Stock | CConversionDisposed | −1,737,216 | $0.00 | $0 | 0 | Direct | |
| Nov 14, 2023 | Common Stock | CConversionDisposed | −473,786 | $0.00 | $0 | 0 | Indirect |
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.
- F2
The Series A-1 Preferred Stock converted into Common Stock on a 13.5685-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A-1 Preferred Stock had no expiration date.
Referenced by the price of 2 transactions in Table I.