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Filing Details

Accession Number:
0001104659-19-053617
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-10-09 18:23:26
Reporting Period:
2019-10-07
Accepted Time:
2019-10-09 18:23:26
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1781983 Aprea Therapeutics Inc. APRE () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1240357 D John Diekman 501 2Nd Street, Suite 350
San Francisco CA 94107
No No Yes No
1589314 5Am Partners Iv, Llc 501 2Nd Street, Suite 350
San Francisco CA 94107
No No Yes No
1589315 5Am Ventures Iv, L.p. 501 2Nd Street, Suite 350
San Francisco CA 94107
No No Yes No
1593361 5Am Co-Investors Iv, L.p. 501 2Nd Street, Suite 350
San Francisco CA 94107
No No Yes No
1598549 J. Andrew Schwab 501 2Nd Street, Suite 350
San Francisco CA 94107
No No Yes No
1664281 Kush Parmar 501 2Nd Street, Suite 350
San Francisco CA 94107
No No Yes No
1753000 5Am Opportunities I, L.p. 501 2Nd Street, Suite 350
San Francisco CA 94107
No No Yes No
1790778 5Am Opportunities I (Gp), Llc 501 2Nd Street, Suite 350
San Francisco CA 94107
No 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 2019-10-07 1,913,910 $0.00 1,926,073 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-10-07 79,746 $0.00 80,253 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-10-07 492,475 $0.00 2,418,548 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-10-07 20,519 $0.00 100,772 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-10-07 333,333 $15.00 333,333 No 4 P Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 P Indirect See footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Convertible Preferred Stock Disposition 2019-10-07 1,913,910 $0.00 1,913,910 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2019-10-07 79,746 $0.00 79,746 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2019-10-07 492,475 $0.00 492,475 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2019-10-07 20,519 $0.00 20,519 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.
  2. Shares are held directly by 5AM Ventures IV, L.P.
  3. Shares are held directly by 5AM Co-Investors IV, L.P.
  4. 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
  5. Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
  6. 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Mr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.