RA Capital Healthcare Fund LP's Form 4 filing
DICE Therapeutics, Inc. (DICE) · filed Sep 20, 2021
- Accession no.
- 0001104659-21-117369
- Filed
- Sep 20, 2021, 4:30 PM ET
- Trade date
- Sep 17, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 4 derivative transactions. Open-market purchases total $23.8M. 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 |
|---|---|
| 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, 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 | +3,100,082 | –F1 | – | 3,100,082 | Indirect | |
| Sep 17, 2021 | Common Stock | PPurchaseAcquired | +1,322,422 | $17.00 | +$22,481,174 | 4,422,504 | Indirect | |
| Sep 17, 2021 | Common Stock | CConversionAcquired | +708,829 | –F1 | – | 708,829 | Indirect | |
| Sep 17, 2021 | Common Stock | PPurchaseAcquired | +77,578 | $17.00 | +$1,318,826 | 786,407 | 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 | −2,458,447 | $0.00 | $0 | 0 | Indirect | |
| Sep 17, 2021 | Common Stock | CConversionDisposed | −433,843 | $0.00 | $0 | 0 | Indirect | |
| Sep 17, 2021 | Common Stock | CConversionDisposed | −641,635 | $0.00 | $0 | 0 | Indirect | |
| Sep 17, 2021 | Common Stock | CConversionDisposed | −274,986 | $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 September 17, 2021, each share of Series C Preferred Stock and each share of Series C-1 Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-1 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 2 transactions in Table I.
Remarks
Jake Simson, a Partner of the Adviser, serves on the Issuer's board of directors.