Filing Details

Accession Number:
0001104659-19-064691
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-11-15 14:52:02
Reporting Period:
2019-11-04
Accepted Time:
2019-11-15 14:52:02
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1673772 Rapt Therapeutics Inc. RAPT () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1200183 Leo Guthart 3 Expressway Plaza
Roslyn Heights NY 11577
No No Yes No
1615782 L.p. Fund Topspin Three Expressway Plaza
Roslyn Heights NY 11577
No No Yes No
1685869 Lg Management, Llc 3 Expressway Plaza
Roslyn Heights NY 11577
No No Yes No
1745827 Topspin Biotech Fund Ii, L.p. 3 Expressway Plaza
Roslyn Heights NY 11577
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 2019-11-04 415,000 $12.00 2,575,371 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 B Preferred Stock Disposition 2019-11-04 1,641,666 $0.00 1,641,666 $0.00
Common Stock Series C Preferred Stock Disposition 2019-11-04 363,504 $0.00 363,504 $0.00
Common Stock Series C-2 Preferred Stock Disposition 2019-11-04 155,201 $0.00 155,201 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-11-04 No 4 C Indirect
0 2019-11-04 No 4 C Direct
0 2019-11-04 No 4 C Direct
Footnotes
  1. Consists of (1) 1,641,666 shares held of record by Topspin Biotech Fund II, LP; and (ii) 933,705 shares held of record by Topspin Fund, LP. Each of Topspin Biotech Fund II, LP and Topspin Fund, LP disclaims beneficial ownership of the shares held of record by the other.
  2. Each share of Series B, C and C-2 Preferred Stock shown in Column 5 converted into one share of Common Stock automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. Giving effect to such conversion, the ownership by the reporting persons of the shares of the Issuer's common stock is as set forth in Note 1 above.
  3. 1,641,666 of such shares are held directly by Topspin Biotech Fund II, L.P. LG Management, LLC, the general partner of Topspin Biotech Fund II, L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.
  4. 933,705 of such shares are held directly by Topspin Fund L.P. LG Management, LLC, the general partner of Topspin Fund L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.