RA Capital Healthcare Fund LP's Form 4 filing
Acumen Pharmaceuticals, Inc. (ABOS) · filed Jul 8, 2021
- Accession no.
- 0001104659-21-090244
- Filed
- Jul 8, 2021, 4:32 PM ET
- Trade date
- Jul 6, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market purchases total $30.0M. 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.
| Owner | Relationship to the company |
|---|---|
| RA Capital Healthcare Fund LPCIK 0001315082 | Director, 10% Owner |
| Ra Capital Management, L.P.CIK 0001346824 | Director, 10% Owner |
| Kolchinsky PeterCIK 0001384859 | Director, 10% Owner |
| Shah Rajeev M.CIK 0001619841 | Director, 10% Owner |
| RA Capital Nexus Fund II, L.P.CIK 0001825376 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 6, 2021 | Common Stock | CConversionAcquired | +6,122,557 | –F1 | – | 6,122,557 | Indirect | |
| Jul 6, 2021 | Common Stock | PPurchaseAcquired | +1,759,332 | $16.00 | +$28,149,312 | 7,881,889 | Indirect | |
| Jul 6, 2021 | Common Stock | CConversionAcquired | +1,184,366 | –F1 | – | 1,184,336 | Indirect | |
| Jul 6, 2021 | Common Stock | PPurchaseAcquired | +115,668 | $16.00 | +$1,850,688 | 1,300,034 | Indirect | |
| Jul 6, 2021 | Common Stock | CConversionAcquired | +588,850 | –F1 | – | 588,850 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 6, 2021 | Common Stock | CConversionDisposed | −6,122,557 | $0.00 | $0 | 0 | Indirect | |
| Jul 6, 2021 | Common Stock | CConversionDisposed | −1,184,366 | $0.00 | $0 | 0 | Indirect | |
| Jul 6, 2021 | Common Stock | CConversionDisposed | −588,850 | $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.
- F1
On July 6, 2021, each share of Series B Preferred Stock (the "Preferred Stock") converted into one share of Common Stock of the Issuer without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.
Referenced by the price of 3 transactions in Table I.