0001209191-19-010320.txt : 20190214 0001209191-19-010320.hdr.sgml : 20190214 20190214173403 ACCESSION NUMBER: 0001209191-19-010320 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190212 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: UBS Oncology Impact Fund L.P. CENTRAL INDEX KEY: 0001691428 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 19608669 BUSINESS ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 617-425-9200 MAIL ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oncology Impact Fund (Cayman) Management L.P. CENTRAL INDEX KEY: 0001721036 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 19608670 BUSINESS ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 6174259200 MAIL ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM Oncology Impact Management LP CENTRAL INDEX KEY: 0001687078 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 19608671 BUSINESS ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 6174259200 MAIL ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM Oncology Impact Management GP LLC CENTRAL INDEX KEY: 0001721035 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38800 FILM NUMBER: 19608672 BUSINESS ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 6174259200 MAIL ADDRESS: STREET 1: 450 KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 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: 4000 SHORELINE CT #250 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-443-7400 MAIL ADDRESS: STREET 1: 4000 SHORELINE CT #250 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-02-12 0 0001708493 Harpoon Therapeutics, Inc. HARP 0001691428 UBS Oncology Impact Fund L.P. C/O MPM CAPITAL 450 KENDALL STREET CAMBRIDGE MA 02142 0 0 1 0 0001721036 Oncology Impact Fund (Cayman) Management L.P. C/O MPM CAPITAL 450 KENDALL STREET CAMBRIDGE MA 02142 0 0 1 0 0001687078 MPM Oncology Impact Management LP C/O MPM CAPITAL 450 KENDALL STREET CAMBRIDGE MA 02142 0 0 1 0 0001721035 MPM Oncology Impact Management GP LLC C/O MPM CAPITAL 450 KENDALL STREET CAMBRIDGE MA 02142 0 0 1 0 Common Stock 2019-02-12 4 C 0 1525165 A 1525165 D Common Stock 2019-02-12 4 C 0 1578755 A 3103920 D Common Stock 2019-02-12 4 C 0 417853 A 3521773 D Common Stock 2019-02-12 4 X 0 127096 0.0492 A 3648869 D Common Stock 2019-02-12 4 S 0 447 14.00 D 3648422 D Common Stock 2019-02-12 4 P 0 250000 14.00 A 3898422 D Series A Preferred Stock 2019-02-12 4 C 0 1525165 0.00 D Common Stock 1525165 0 D Series B Preferred Stock 2019-02-12 4 C 0 1578755 0.00 D Common Stock 1578755 0 D Series C Preferred Stock 2019-02-12 4 C 0 417853 0.00 D Common Stock 417853 0 D Common Stock Warrant (Right to Buy) 0.0492 2019-02-12 4 X 0 76258 0.00 D 2016-11-01 2026-11-01 Common Stock 76258 0 D Common Stock Warrant (Right to Buy) 0.0492 2019-02-12 4 X 0 50838 0.00 D 2017-01-10 2027-01-10 Common Stock 50838 0 D All series of convertible preferred stock will automatically convert into the number of shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering and have no expiration date. The reported securities are held in the account of UBS Oncology Impact Fund L.P. ("UBS Oncology"). MPM Oncology Impact Management GP LLC ("Oncology GP LLC") is the General Partner of MPM Oncology Impact Management LP, the General Partner of Oncology Impact Fund (Cayman) Management L.P., the General Partner of UBS Oncology. Ansbert Gadicke is the Managing Member of Oncology GP LLC. The Reporting Persons disclaim beneficial ownership of the securities except to the extent of their respective pecuniary interests therein. On February 12, 2019, UBS Oncology exercised warrants to purchase an aggregate of 127,096 shares of the Issuer's common stock for $0.0492 per share. UBS Oncology paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 447 of the warrant shares to pay the exercise price and issuing to UBS Oncology the remaining 126,649 shares. /s/ Ansbert Gadicke, managing member of MPM Oncology Impact Management GP LLC, the general partner of MPM Oncology Impact Management LP, the general partner of Oncology Impact Fund (Cayman) Management L.P., the GP of UBS Oncology Impact Fund L.P. 2019-02-14 /s/ Ansbert Gadicke, managing member of MPM Oncology Impact Management GP LLC, the general partner of MPM Oncology Impact Management LP, the general partner of Oncology Impact Fund (Cayman) Management L.P. 2019-02-14 /s/ Ansbert Gadicke, managing member of MPM Oncology Impact Management GP LLC, the general partner of MPM Oncology Impact Management LP 2019-02-14 /s/ Ansbert Gadicke, managing member of MPM Oncology Impact Management GP LLC 2019-02-14