Filing Details

Accession Number:
0001209191-19-010306
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-02-14 17:30:01
Reporting Period:
2018-11-09
Accepted Time:
2019-02-14 17:30:01
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
1247851 Ronald Hunt C/o New Leaf Ventures
7 Times Square, Suite 3502
New York NY 10036
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 1,564,272 $0.00 1,564,272 No 4 C Indirect See footnote
Common Stock Acquisiton 2019-02-12 464,281 $0.00 2,028,553 No 4 C Indirect See footnote
Common Stock Acquisiton 2019-02-12 464,281 $0.00 464,281 No 4 C Indirect See footnote
Common Stock Acquisiton 2019-02-12 214,286 $14.00 2,242,839 No 4 P Indirect See footnote
Common Stock Acquisiton 2019-02-12 214,285 $14.00 678,566 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 P 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 Convertible Preferred Stock Acquisiton 2018-11-09 464,281 $0.00 464,281 $0.00
Common Stock Series C Convertible Preferred Stock Acquisiton 2018-11-09 464,281 $0.00 464,281 $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 B Convertible Preferred Stock Disposition 2019-02-12 1,564,272 $0.00 1,564,272 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2019-02-12 464,281 $0.00 464,281 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2019-02-12 464,281 $0.00 464,281 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
464,281 No 4 P Indirect
464,281 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
Footnotes
  1. All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering.
  2. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
  3. Each of Ronald M. Hunt, a member of the Issuer's board of directors, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-III (the "NLV-III Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
  4. These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
  5. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac A. Manke, the managers of BPO Management-II (the "BPO-II Managers"), may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
  6. Reflects a transaction with the Issuer prior to its Section 12 registration which occurred within 6 months of the post-registration transaction reported on this Form 4.
  7. 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.