0001062993-21-009543.txt : 20211014 0001062993-21-009543.hdr.sgml : 20211014 20211014170750 ACCESSION NUMBER: 0001062993-21-009543 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211012 FILED AS OF DATE: 20211014 DATE AS OF CHANGE: 20211014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EDELMAN JOSEPH CENTRAL INDEX KEY: 0001164426 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211323910 MAIL ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERCEPTIVE ADVISORS LLC CENTRAL INDEX KEY: 0001224962 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211323916 BUSINESS ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5300 MAIL ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERCEPTIVE LIFE SCIENCES MASTER FUND LTD CENTRAL INDEX KEY: 0001249675 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211323915 BUSINESS ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5340 MAIL ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Perceptive Credit Advisors, LLC CENTRAL INDEX KEY: 0001877081 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211323913 BUSINESS ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5300 MAIL ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PCOF EQ AIV III, LP CENTRAL INDEX KEY: 0001877077 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211323911 BUSINESS ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5300 MAIL ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Perceptive Credit Holdings III, LP CENTRAL INDEX KEY: 0001877078 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211323912 BUSINESS ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5300 MAIL ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IsoPlexis Corp CENTRAL INDEX KEY: 0001615055 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 462179799 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 35 NE INDUSTRIAL ROAD CITY: BRANFORD STATE: CT ZIP: 06405 BUSINESS PHONE: 203-208-4111 MAIL ADDRESS: STREET 1: 35 NE INDUSTRIAL ROAD CITY: BRANFORD STATE: CT ZIP: 06405 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2021-10-12 0001615055 IsoPlexis Corp ISO 0001224962 PERCEPTIVE ADVISORS LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 0001249675 PERCEPTIVE LIFE SCIENCES MASTER FUND LTD 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 0001877081 Perceptive Credit Advisors, LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 0001877078 Perceptive Credit Holdings III, LP 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 0001877077 PCOF EQ AIV III, LP 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 0001164426 EDELMAN JOSEPH 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 Common Stock 2021-10-12 4 C 0 2704587 A 2704587 I By Perceptive Life Sciences Master Fund, Ltd. Common Stock 2021-10-12 4 C 0 335962 A 335962 I By Perceptive Credit Holdings III, LP Common Stock 2021-10-12 4 C 0 204949 A 204949 I By PCOF EQ AIV III, LP Common Stock 2021-10-12 4 P 0 850000 15.00 A 3554587 I By Perceptive Life Sciences Master Fund, Ltd. Series D Redeemable Convertible Preferred Stock 2021-10-12 4 C 0 325014 0 D Common Stock 2600112 0 I By Perceptive Life Sciences Master Fund, Ltd. Series D Redeemable Convertible Preferred Stock 2021-10-12 4 C 0 40373 0 D Common Stock 322984 0 I By Perceptive Credit Holdings III, LP Series D Redeemable Convertible Preferred Stock 2021-10-12 4 C 0 24629 0 D Common Stock 197032 0 I By PCOF EQ AIV III, LP Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date. The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. ("Master Fund"). Perceptive Advisors LLC (the "Advisor") is the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. The securities are directly held by Perceptive Credit Holdings III, LP ("PCH III"). Perceptive Credit Advisors, LLC ("Perceptive Credit") is the investment manager to PCH III. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. The securities are directly held by PCOF EQ AIV III, LP ("PCOF"). Perceptive Credit is the investment manager to PCOF. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Includes 104,475 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. Includes 12,978 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. Includes 7,917 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. /s/ Joseph Edelman - for Perceptive Advisors LLC, By: Joseph Edelman, its managing member 2021-10-14 /s/ Joseph Edelman - for Perceptive Life Sciences Master Fund Ltd, By: Perceptive Advisors LLC, its investment manager, By: Joseph Edelman, its managing member 2021-10-14 /s/ Joseph Edelman - for Perceptive Credit Advisors, LLC, By: Joseph Edelman, its managing member 2021-10-14 /s/ Joseph Edelman - for Perceptive Credit Holdings III, LP, By: Perceptive Credit Opportunities GP, LLC, its general partner, By: Joseph Edelman, its managing member 2021-10-14 /s/ Joseph Edelman - for PCOF EQ AIV III, LP, By: PCOF EQ AIV GP, LLC, its general partner, By: Joseph Edelman, its managing member 2021-10-14 /s/ Joseph Edelman 2021-10-14