Filing Details

Accession Number:
0000899243-21-036646
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-20 21:19:52
Reporting Period:
2021-09-17
Accepted Time:
2021-09-20 21:19:52
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1645569 Dice Therapeutics Inc. DICE Pharmaceutical Preparations (2834) 472286244
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1867470 Northpond Ventures Gp, Llc 7500 Old Georgetown Road, Suite 850
Bethesda MD 20814
No No Yes No
1867472 Northpond Ventures, Lp 7500 Old Georgetown Road, Suite 850
Bethesda MD 20814
No No Yes No
1867627 P. Michael Rubin 7500 Old Georgetown Road, Suite 850
Bethesda MD 20814
No No Yes No
1869114 Northpond Ventures Gp Ii, Llc 7500 Old Georgetown Road, Suite 850
Bethesda MD 20814
No No Yes No
1869128 Northpond Ventures Ii, Lp 7500 Old Georgetown Road, Suite 850
Bethesda MD 20814
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 2021-09-17 2,603,075 $0.00 2,603,075 No 4 C Indirect By: Northpond Ventures, LP
Common Stock Acquisiton 2021-09-17 454,796 $0.00 3,057,871 No 4 C Indirect By: Northpond Ventures II, LP
Common Stock Acquisiton 2021-09-17 235,000 $17.00 3,292,871 No 4 P Indirect By: Northpond Ventures II, LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By: Northpond Ventures, LP
No 4 C Indirect By: Northpond Ventures II, LP
No 4 P Indirect By: Northpond Ventures II, LP
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Convertible Preferred Stock Disposition 2021-09-17 1,735,388 $0.00 1,735,388 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2021-09-17 867,687 $0.00 867,687 $0.00
Common Stock Series C-1 Convertible Preferred Stock Disposition 2021-09-17 454,796 $0.00 454,796 $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
Footnotes
  1. Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date.
  2. Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date.
  3. Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
  4. Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.