New Leaf Ventures III, L.P. - Jan 11, 2021 Form 4 Insider Report for Harpoon Therapeutics, Inc. (HARP)

Role
10%+ Owner
Signature
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
Stock symbol
HARP
Transactions as of
Jan 11, 2021
Transactions value $
$3,999,998
Form type
4
Date filed
8/12/2021, 04:15 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HARP Common Stock Purchase $4M +235K +34.68% $17.00* 914K Jan 11, 2021 See footnote F1, F2
holding HARP Common Stock 2.24M Jan 11, 2021 See footnote F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.

Remarks:

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.