0000899243-21-032748.txt : 20210812 0000899243-21-032748.hdr.sgml : 20210812 20210812161515 ACCESSION NUMBER: 0000899243-21-032748 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210111 FILED AS OF DATE: 20210812 DATE AS OF CHANGE: 20210812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Leaf Ventures III, L.P. CENTRAL INDEX KEY: 0001625653 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 211167745 BUSINESS ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE, SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 646-871-6400 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE, SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Leaf Venture Associates III, L.P. CENTRAL INDEX KEY: 0001625656 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 211167744 BUSINESS ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE, SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 646-871-6400 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE, SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Leaf Venture Management III, L.L.C. CENTRAL INDEX KEY: 0001625657 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 211167743 BUSINESS ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE, SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 646-871-6400 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE, SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Leaf BPO Associates II, L.P. CENTRAL INDEX KEY: 0001740783 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 211167741 BUSINESS ADDRESS: STREET 1: 420 LEXINGTON AVENUE, SUITE 408 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: (646) 871-6400 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE, SUITE 408 CITY: NEW YORK STATE: NY ZIP: 10170 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Leaf Biopharma Opportunities II, L.P. CENTRAL INDEX KEY: 0001735293 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 211167742 BUSINESS ADDRESS: STREET 1: 420 LEXINGTON AVENUE, SUITE 408 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: (646) 871-6400 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE, SUITE 408 CITY: NEW YORK STATE: NY ZIP: 10170 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Leaf BPO Management II, L.L.C CENTRAL INDEX KEY: 0001740755 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 211167740 BUSINESS ADDRESS: STREET 1: 420 LEXINGTON AVENUE, SUITE 408 CITY: NEW YORK STATE: NY ZIP: 10170 BUSINESS PHONE: (646) 871-6400 MAIL ADDRESS: STREET 1: 420 LEXINGTON AVENUE, SUITE 408 CITY: NEW YORK STATE: NY ZIP: 10170 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: 131 OYSTER POINT BOULEVARD STREET 2: SUITE 300 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-443-7400 MAIL ADDRESS: STREET 1: 131 OYSTER POINT BOULEVARD STREET 2: SUITE 300 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-01-11 0 0001708493 Harpoon Therapeutics, Inc. HARP 0001625653 New Leaf Ventures III, L.P. C/O NEW LEAF VENTURES 420 LEXINGTON AVENUE, SUITE 408 NEW YORK NY 10170 0 0 1 0 0001625656 New Leaf Venture Associates III, L.P. C/O NEW LEAF VENTURES 420 LEXINGTON AVENUE, SUITE 408 NEW YORK NY 10170 0 0 1 0 0001625657 New Leaf Venture Management III, L.L.C. C/O NEW LEAF VENTURES 420 LEXINGTON AVENUE, SUITE 408 NEW YORK NY 10170 0 0 1 0 0001735293 New Leaf Biopharma Opportunities II, L.P. C/O NEW LEAF VENTURES 7 TIMES SQUARE, SUITE 3502 NEW YORK NY 10036 0 0 1 0 0001740783 New Leaf BPO Associates II, L.P. C/O NEW LEAF VENTURES 7 TIMES SQUARE, SUITE 3502 NEW YORK NY 10036 0 0 1 0 0001740755 New Leaf BPO Management II, L.L.C C/O NEW LEAF VENTURES 7 TIMES SQUARE, SUITE 3502 NEW YORK NY 10036 0 0 1 0 Common Stock 2021-01-11 4 P 0 235294 17.00 A 913860 I See footnote Common Stock 2242839 I See footnote These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The 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. Each of Ronald M. Hunt, a member of the Issuer's board of directors, and Vijay K. Lathi are the managers of BPO Management-II (the "BPO-II Managers") and may be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II 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. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III" and together with BPO-II, the "NLV Funds"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The 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. Each of Ronald M. Hunt, a member of the Issuer's board of directors, and Vijay K. Lathi, are the managers of Management-III (the "NLV-III Managers") 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. As of the filing date of this Form 4, the NLV Funds, in the aggregate, beneficially own less than ten percent of the Issuer's outstanding common stock and are no longer subject to Section 16. New Leaf Ventures III, L.P., By: New Leaf Venture Associates III, L.P., its general partner, By: New Leaf Venture Management III, L.L.C., its general partner, by /s/ Craig Slutzkin, Chief Financial Officer 2021-08-12 New Leaf Venture Associates III, L.P., By: New Leaf Venture Management III, L.L.C., its general partner, by /s/ Craig Slutzkin, Chief Financial Officer 2021-08-12 New Leaf Venture Management III, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer 2021-08-12 New Leaf Biopharma Opportunities II, L.P., By: New Leaf BPO Associates II, L.P., its general partner, By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer 2021-08-12 New Leaf BPO Associates II, L.P., By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer 2021-08-12 New Leaf BPO Management II, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer 2021-08-12