HBM Healthcare Investments (Cayman) Ltd.'s Form 4 filing
Mineralys Therapeutics, Inc. (MLYS) · filed Feb 16, 2023
- Accession no.
- 0001104659-23-022971
- Filed
- Feb 16, 2023
- Trade date
- Feb 14, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market purchases total $5.00M. 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 |
|---|---|
| HBM Healthcare Investments (Cayman) Ltd.CIK 0001232258 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 14, 2023 | Common Stock | CConversionAcquired | +1,941,368 | –F1 | – | 1,941,368 | Direct | |
| Feb 14, 2023 | Common Stock | CConversionAcquired | +964,238 | –F2 | – | 2,905,606 | Direct | |
| Feb 14, 2023 | Common Stock | PPurchaseAcquired | +312,500 | $16.00 | +$5,000,000 | 3,218,106 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 14, 2023 | Common Stock | CConversionDisposed | −1,941,368 | $0.00 | $0 | 0 | Direct | |
| Feb 14, 2023 | Common Stock | CConversionDisposed | −964,238 | $0.00 | $0 | 0 | Direct |
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
Upon the closing of the Issuer's initial public offering ("IPO"), each share of Series A Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into Common Stock. These shares of Series A Preferred Stock had no expiration date.
Referenced by the price of 1 transaction in Table I.
- F2
Upon the closing of the Issuer's IPO, each share of Series B Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into Common Stock. These shares of Series B Preferred Stock had no expiration date.
Referenced by the price of 1 transaction in Table I.