0001104659-21-021029.txt : 20210211 0001104659-21-021029.hdr.sgml : 20210211 20210211215745 ACCESSION NUMBER: 0001104659-21-021029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210209 FILED AS OF DATE: 20210211 DATE AS OF CHANGE: 20210211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCare Ventures IX, L.P. CENTRAL INDEX KEY: 0001490245 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37990 FILM NUMBER: 21622380 BUSINESS ADDRESS: STREET 1: 55 CAMBRIDGE PARKWAY STREET 2: SUITE 102 CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 617.252.4343 MAIL ADDRESS: STREET 1: 55 CAMBRIDGE PARKWAY STREET 2: SUITE 102 CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Healthcare Partners IX, L.P. CENTRAL INDEX KEY: 0001697027 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37990 FILM NUMBER: 21622381 BUSINESS ADDRESS: STREET 1: 47 THORNDIKE STREET STREET 2: SUITE B1 CITY: BOSTON STATE: MA ZIP: 02141 BUSINESS PHONE: 617-252-4343 MAIL ADDRESS: STREET 1: 47 THORNDIKE STREET STREET 2: SUITE B1 CITY: BOSTON STATE: MA ZIP: 02141 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Healthcare Partners IX, LLC CENTRAL INDEX KEY: 0001698828 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37990 FILM NUMBER: 21622382 BUSINESS ADDRESS: STREET 1: 47 THORNDIKE STREET STREET 2: SUITE B1 CITY: CAMBRIDGE, STATE: MA ZIP: 02141 BUSINESS PHONE: 617-252-4343 MAIL ADDRESS: STREET 1: 47 THORNDIKE STREET STREET 2: SUITE B1 CITY: CAMBRIDGE, STATE: MA ZIP: 02141 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 tm216410-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-02-09 1 0001509745 LEAP THERAPEUTICS, INC. LPTX 0001490245 HealthCare Ventures IX, L.P. C/O LEAP THERAPEUTICS, INC. 47 THORNDIKE STREET SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001697027 Healthcare Partners IX, L.P. C/O LEAP THERAPEUTICS, INC. 47 THORNDIKE STREET SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001698828 Healthcare Partners IX, LLC C/O LEAP THERAPEUTICS, INC. 47 THORNDIKE STREET SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 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 D 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 the reporting persons 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. This filing constitutes a Form 4 exit filing for the reporting persons as they are no longer subject to Section 16 under the Securities Exchange Act of 1934. /s/ Douglas E. Onsi as Managing Director of HealthCare Partners IX, LLC, General Partner of HealthCare Partners IX, LP., General Partner of HealthCare Ventures IX, L.P. 2021-02-11 /s/ Douglas E. Onsi as Managing Director of HealthCare Partners IX, LLC, General Partner of HealthCare Partners IX, LP 2021-02-11 /s/ Douglas E. Onsi as Managing Director of HealthCare Partners IX, LLC 2021-02-11