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