Filing Details

Accession Number:
0001493152-21-006147
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-03-16 19:57:26
Reporting Period:
2021-03-16
Accepted Time:
2021-03-16 19:57:26
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1718852 Prometheus Biosciences Inc. RXDX () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1493215 Rtw Investments, Lp 40 10Th Avenue, Floor 7
New York NY 10014
No No Yes No
1493280 Roderick Wong C/O Rtw Investments, Lp
40 10Th Avenue, Floor 7
New York NY 10014
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 2021-03-16 800,000 $19.00 800,000 No 4 P Indirect By RTW
Common Stock Acquisiton 2021-03-16 1,017,769 $0.00 1,817,769 No 4 C Indirect By RTW
Common Stock Acquisiton 2021-03-16 1,446,262 $0.00 3,264,031 No 4 C Indirect By RTW
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By RTW
No 4 C Indirect By RTW
No 4 C Indirect By RTW
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series D-1 Preferred Stock Disposition 2021-03-16 10,177,703 $0.00 1,017,769 $0.00
Common Stock Series D-2 Preferred Stock Disposition 2021-03-16 14,462,623 $0.00 1,446,262 $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. Consists of shares of common stock held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "RTW Funds").
  2. The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by the RTW Funds, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and disposition control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the RTW Funds, except to the extent of its or his pecuniary interest therein
  3. Each share of the Issuer's Series D-1 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-1 Preferred Stock had no expiration date.
  4. Each share of the Issuer's Series D-2 Preferred Stock automatically converted into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering at a ratio of ten-for-one share of the Issuer's common stock. The Series D-2 Preferred Stock had no expiration date.