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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	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

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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

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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

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

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.
Shares are held directly by 5AM Ventures IV, L.P.
Shares are held directly by 5AM Co-Investors IV, L.P.
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.
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.
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.