0001209191-23-053737.txt : 20231027 0001209191-23-053737.hdr.sgml : 20231027 20231027160317 ACCESSION NUMBER: 0001209191-23-053737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231025 FILED AS OF DATE: 20231027 DATE AS OF CHANGE: 20231027 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HUNT RONALD CENTRAL INDEX KEY: 0001247851 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 231355496 MAIL ADDRESS: STREET 1: C/O CREDIT SUISSE 1ST BOSTON PRV EQY STREET 2: 11 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Harpoon Therapeutics, Inc. CENTRAL INDEX KEY: 0001708493 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 473458693 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 611 GATEWAY BOULEVARD, SUITE 400 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (650) 443-7400 MAIL ADDRESS: STREET 1: 611 GATEWAY BOULEVARD, SUITE 400 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-10-25 0 0001708493 Harpoon Therapeutics, Inc. HARP 0001247851 HUNT RONALD C/O NEW LEAF VENTURE PARTNERS 156 FIFTH AVENUE, SUITE 820 NEW YORK NY 10010 1 0 1 0 0 Common Stock 2023-10-25 4 P 0 1372000 A 1463386 I See Footnote Common Stock 2023-10-25 4 P 0 171500 A 395783 I See Footnote 8.000% Series A Redeemable Preferred Stock 10000 I See Footnote Common Stock 6729 D Common Stock Warrant (Right to Buy) 5.8345 2023-10-25 4 P 0 686000 A 2023-10-25 2026-10-25 Common Stock 686000 686000 I See Footnotes Common Stock Warrant (Right to Buy) 5.8345 2023-10-25 4 P 0 85750 A 2023-10-25 2026-10-25 Common Stock 85750 85750 I See Footnote Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation filed as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 27, 2023. The exercise price is also subject to adjustment pursuant to the Common Stock Purchase Warrant issued on October 25, 2023. /s/ Frank J. Lanza, Attorney-in-Fact 2023-10-27