Northpond Ventures GP, LLC's Form 4 filing
IsoPlexis Corp (ISO) · filed Oct 14, 2021
- Accession no.
- 0001209191-21-060463
- Filed
- Oct 14, 2021, 4:24 PM ET
- Trade date
- Oct 12, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 4 derivative transactions. Open-market purchases total $15.0M. 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 |
|---|---|
| Northpond Ventures GP, LLCCIK 0001867470 | 10% Owner |
| Northpond Ventures, LPCIK 0001867472 | 10% Owner |
| Rubin Michael P.CIK 0001867627 | 10% Owner |
| Northpond Capital, L.P.CIK 0001871659 | 10% Owner |
| Northpond Capital GP, LLCCIK 0001871669 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 12, 2021 | Common Stock | CConversionAcquired | +6,304,192 | –F1 | – | 6,727,570 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionAcquired | +1,040,048 | –F1 | – | 1,080,961 | Indirect | |
| Oct 12, 2021 | Common Stock | PPurchaseAcquired | +1,000,000 | $15.00 | +$15,000,000 | 2,080,961 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 12, 2021 | Common Stock | CConversionDisposed | −2,302,280 | $0.00 | $0 | 0 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionDisposed | −2,473,048 | $0.00 | $0 | 0 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionDisposed | −1,528,864 | $0.00 | $0 | 0 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionDisposed | −1,040,048 | $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
Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date.
Referenced by the price of 2 transactions in Table I.