Filing Details

Accession Number:
0001209191-19-010288
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-02-14 17:19:34
Reporting Period:
2018-11-09
Accepted Time:
2019-02-14 17:19:34
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1708493 Harpoon Therapeutics Inc. HARP () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1134657 Luke Evnin C/o Harpoon Therapeutics, Inc.
4000 Shoreline Court, Suite 250
South San Francisco CA 94080
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-02-12 1,525,164 $0.00 1,847,227 No 4 C Indirect See Footnote
Common Stock Acquisiton 2019-02-12 1,578,751 $0.00 3,425,978 No 4 C Indirect See Footnote
Common Stock Acquisiton 2019-02-12 417,852 $0.00 3,843,830 No 4 C Indirect See Footnote
Common Stock Acquisiton 2019-02-12 432,119 $0.05 4,275,949 No 4 X Indirect See Footnote
Common Stock Disposition 2019-02-12 1,524 $14.00 4,274,425 No 4 F Indirect See Footnote
Common Stock Acquisiton 2019-02-12 250,000 $14.00 4,524,425 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 X Indirect See Footnote
No 4 F Indirect See Footnote
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C Preferred Stock Acquisiton 2018-11-09 417,852 $0.00 417,852 $0.00
Common Stock Director Stock Option (Right to Buy) Acquisiton 2018-12-19 20,335 $0.00 20,335 $2.12
Common Stock Series A Preferred Stock Disposition 2019-02-12 1,525,164 $0.00 1,525,164 $0.00
Common Stock Series B Preferred Stock Disposition 2019-02-12 1,578,751 $0.00 1,578,751 $0.00
Common Stock Series C Preferred Stock Disposition 2019-02-12 417,852 $0.00 417,852 $0.00
Common Stock Common Stock Warrant (Right to Buy) Disposition 2019-02-12 25,418 $0.00 25,418 $0.05
Common Stock Common Stock Warrant (Right to Buy) Disposition 2019-02-12 57,192 $0.00 57,192 $0.05
Common Stock Common Stock Warrant (Right to Buy) Disposition 2019-02-12 171,579 $0.00 171,579 $0.05
Common Stock Common Stock Warrant (Right to Buy) Disposition 2019-02-12 50,837 $0.00 50,837 $0.05
Common Stock Common Stock Warrant (Right to Buy) Disposition 2019-02-12 76,256 $0.00 76,256 $0.05
Common Stock Common Stock Warrant (Right to Buy) Disposition 2019-02-12 50,837 $0.00 50,837 $0.05
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
417,852 No 4 P Indirect
20,335 2028-12-19 No 4 A Direct
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 2015-03-24 2025-03-24 No 4 X Indirect
0 2015-07-23 2025-07-23 No 4 X Indirect
0 2015-08-19 2025-08-19 No 4 X Indirect
0 2015-12-16 2025-12-16 No 4 X Indirect
0 2016-11-01 2026-11-01 No 4 X Indirect
0 2017-01-10 2027-01-10 No 4 X Indirect
Footnotes
  1. All series of convertible preferred stock automatically converted into the number of shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
  2. The shares are held as follows: 1,382,777 by MPM BioVentures 2014, L.P. ("BV 2014"), 92,229 by MPM BioVentures 2014(B), L.P. ("BV 2014(B)"), 50,158 by MPM Asset Management Investors BV2014 LLC ("AM BV2014") and 322,063 by MPM Asset Management LLC ("AM LLC"). MPM BioVentures 2014 GP LLC and MPM BioVentures 2014 LLC ("BV LLC") are the direct and indirect general partners of BV 2014 and BV 2014(B). Luke Evnin is a member of BV LLC and a member of AM LLC.
  3. The Reporting Person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.
  4. The shares are held as follows: 2,814,142 by BV 2014, 187,696 by BV 2014(B), 102,077 by AM BV2014 and 322,063 by MPM LLC.
  5. The shares are held as follows: 3,192,985 by BV 2014, 212,964 by BV 2014(B), 115,818 by AM BV2014 and 322,063 by MPM LLC.
  6. On February 12, 2019, BV 2014, BV 2014(B) and AM BV2014 exercised warrants to purchase an aggregate of 432,119 shares of the Issuer's common stock for $0.0492 per share. The warrants were exercised as follows: 391,784 by BV 2014, 26,129 by BV 2014(B) and 14,206 by AM BV2014. The exercise price was paid on a cashless basis, resulting in the Issuer's withholding of an aggregate of 1,524 of the warrant shares to pay the exercise price and issuing to the respective holder the remaining 430,595 shares.
  7. The shares are held as follows: 3,584,769 by BV 2014, 239,093 by BV 2014(B), 130,024 by AM BV2014 and 322,063 by MPM LLC.
  8. The shares are held as follows: 3,583,391 by BV 2014, 238,998 by BV 2014(B), 129,973 by AM BV2014 and 322,063 by MPM LLC.
  9. The shares are held as follows: 3,810,051 by BV 2014, 254,116 by BV 2014(B), 138,195 by AM BV2014 and 322,063 by MPM LLC.
  10. Reflects a transaction with the Issuer prior to its Section 12 registration which occurred within 6 months of the post-registration transactions reported on this Form 4.
  11. The shares were purchased as follows: 378,843 by BV 2014, 25,268 by BV 2014(B) and 13,741 by AM BV2014.
  12. The stock option vests in three annual installments starting on December 19, 2019, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.
  13. No securities held by the Reporting Person.