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