0001104659-21-021299.txt : 20210212
0001104659-21-021299.hdr.sgml : 20210212
20210212085500
ACCESSION NUMBER: 0001104659-21-021299
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210209
FILED AS OF DATE: 20210212
DATE AS OF CHANGE: 20210212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAWLOR AUGUSTINE
CENTRAL INDEX KEY: 0001262327
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37990
FILM NUMBER: 21623155
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LEAP THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001509745
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 274412575
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 47 THORNDIKE STREET
STREET 2: SUITE B1-1
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
BUSINESS PHONE: 617 252 4343
MAIL ADDRESS:
STREET 1: 47 THORNDIKE STREET
STREET 2: SUITE B1-1
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
FORMER COMPANY:
FORMER CONFORMED NAME: Dekkun Corp
DATE OF NAME CHANGE: 20110107
4
1
tm216410-5_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-02-09
0
0001509745
LEAP THERAPEUTICS, INC.
LPTX
0001262327
LAWLOR AUGUSTINE
C/O LEAP THERAPEUTICS, INC.
47 THORNDIKE STREET SUITE B1-1
CAMBRIDGE
MA
02141
0
1
1
0
Chief Operating Officer
Warrant (Right to Buy)
1.95
2021-02-09
4
J
0
571428
D
2019-02-05
2026-02-05
Common Stock, $0.001 par value per share
571428
0
I
See footnote
Warrant (Right to Buy)
1.95
2021-02-09
4
F
0
11544
A
2019-02-05
2026-02-05
Common Stock, $0.001 par value per share
11544
11544
I
See footnote
On February 9, 2020, HealthCare Ventures IX, L.P. ("HCVIX") transferred, for no consideration, all 571,428 warrants to purchase common stock it held (the "Transfer") to the limited partners of HCVIX on a pro rata basis. The term of HCVIX expired on December 31, 2020, at which time HCVIX entered into liquidation. The process of liquidating HCVIX, including the distribution of marketable and non-marketable securities, has commenced in 2021, and HealthCare Partners IX, L.P. ("HCPIX"), the General Partner of HCVIX, as liquidator, will use its best efforts to complete the orderly liquidation of HCVIX.
These warrants were owned directly by HCVIX. Christopher K. Mirabelli, Douglas E. Onsi and Augustine Lawlor (collectively, the "HCVIX Directors") are the Managing Directors of HealthCare Partners IX, LLC ("HCPIX LLC"), which is the General Partner of HCPIX, which is the General Partner of HCVIX. Each of the HCVIX Directors, HCPIX LLC and HCPIX indirectly beneficially owns and shares voting and dispositive power with respect to all of the securities owned by HCVIX, and each disclaimed beneficial ownership of the warrants except to the extent of his or its proportionate pecuniary interest therein.
The warrants were acquired in connection with the purchase of an equal number of shares of common stock by HCVIX on February 5, 2019 for $1.75 per share. Each such purchased share of common stock was issued with a warrant to purchase one share of common stock. HCVIX will continue to hold 4,144,804 shares of common stock following the Transfer.
These warrants were acquired by Nine Capital Partners, LLC ("Nine Capital Partners"), a limited partner of HCVIX, in connection with the Transfer. The reporting person is a member of Nine Capital Partners and may be deemed to indirectly beneficially own and share voting and dispositive power with respect to all securities held by Nine Capital Partners. The reporting person disclaims beneficial ownership of the warrants except to the extent of his proportionate pecuniary interest therein.
/s/ Douglas E. Onsi, as Attorney-In-Fact for Augustine Lawlor
2021-02-12