Filing Details

Accession Number:
0001387131-20-011272
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-12-17 21:15:50
Reporting Period:
2020-12-15
Accepted Time:
2020-12-17 21:15:50
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1650648 4D Molecular Therapeutics Inc. FDMT () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1103804 Viking Global Investors Lp 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1133006 Andreas Ole Halvorsen 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1621842 C. David Ott 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1629472 Viking Global Opportunities Portfolio Gp Llc 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1629476 Viking Global Opportunities Gp Llc 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1629482 Viking Global Opportunities Illiquid Investments Sub-Master Lp 55 Railroad Avenue
Greenwich CT 06830
No No Yes No
1711393 Sharon Rose Shabet 55 Railroad Avenue
Greenwich CT 06830
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 2020-12-15 2,004,581 $0.00 2,004,581 No 4 C Indirect See Explanation Responses
Common Stock Acquisiton 2020-12-15 833,333 $0.00 2,837,914 No 4 C Indirect See Explanation Responses
Common Stock Acquisiton 2020-12-15 1,100,000 $23.00 3,937,914 No 4 P Indirect See Explanation Responses
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Explanation Responses
No 4 C Indirect See Explanation Responses
No 4 P Indirect See Explanation Responses
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Redeemable Convertible Preferred Stock Disposition 2020-12-15 2,004,581 $0.00 2,004,581 $0.00
Common Stock Series C Redeemable Convertible Preferred Stock Disposition 2020-12-15 833,333 $0.00 833,333 $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
Footnotes
  1. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
  2. On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
  3. Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
  4. The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
  5. The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date.
  6. The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date.