0001567619-18-003534.txt : 20181002 0001567619-18-003534.hdr.sgml : 20181002 20181002172323 ACCESSION NUMBER: 0001567619-18-003534 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180928 FILED AS OF DATE: 20181002 DATE AS OF CHANGE: 20181002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simon Nicholas CENTRAL INDEX KEY: 0001431403 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38663 FILM NUMBER: 181102614 MAIL ADDRESS: STREET 1: 101 MAIN STREET SUITE 1210 CITY: CAMBRIDGE STATE: MA ZIP: 02142 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Gritstone Oncology, Inc. CENTRAL INDEX KEY: 0001656634 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5858 HORTON STREET, SUITE 210 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: (510) 871-6100 MAIL ADDRESS: STREET 1: 5858 HORTON STREET, SUITE 210 CITY: EMERYVILLE STATE: CA ZIP: 94608 4 1 doc1.xml FORM 4 X0306 4 2018-09-28 0 0001656634 Gritstone Oncology, Inc. GRTS 0001431403 Simon Nicholas 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 1 0 1 0 Common Stock 2018-09-28 4 P 0 333333 15 A 333333 I See Footnote Common Stock 2018-10-02 4 C 0 2234112 A 2567445 I See Footnote Series A Convertible Preferred Stock 2018-10-02 4 C 0 1565216 0 D Common Stock 1565216 0 I See Footnote 1 Series B Convertible Preferred Stock 2018-10-02 4 C 0 668896 0 D Common Stock 668896 0 I See Footnote Consists of the shares held by Clarus Lifesciences III, L.P. ("Clarus"). Clarus Ventures III GP, L.P. ("GPLP"), as the sole general partner of Clarus may be deemed to beneficially own certain of the shares held by Clarus. The GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures III, LLC ("GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. The GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. The Reporting Person, as an individual managing director of GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. The Series A Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. The Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. /s/ Dana B. Johnson, Attorney-in-Fact for Nicholas Simon 2018-10-02