Northpond Ventures GP, LLC - Jan 6, 2022 Form 3 Insider Report for Vigil Neuroscience, Inc. (VIGL)

Role
10%+ Owner
Signature
Northpond Ventures GP, LLC, By: /s/ Patrick Smerkers, Chief Financial Officer
Stock symbol
VIGL
Transactions as of
Jan 6, 2022
Transactions value $
$0
Form type
3
Date filed
1/6/2022, 03:42 PM
Previous filing
Sep 20, 2021
Next filing
Jan 11, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding VIGL Series A Preferred Stock Jan 6, 2022 Common Stock 2,831,520 By: Northpond Ventures, LP F1, F3
holding VIGL Series B Preferred Stock Jan 6, 2022 Common Stock 1,027,978 By: Northpond Ventures II, LP F2, F4

Explanation of Responses:

Id Content
F1 All shares of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of Vigil Neuroscience, Inc. (the "Issuer") will automatically convert on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") prior to the closing of the Issuer's initial public offering of its Common Stock. The Series A Preferred Stock has no expiration date.
F2 All shares of Series B Preferred Stock, par value $0.0001 per share (the "Series B Preferred Stock"), of the Issuer will automatically convert on a one-for-one basis into shares of the Issuer's Common Stock prior to the closing of the Issuer's initial public offering of its Common Stock. The Series B Preferred Stock has no expiration date.
F3 Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
F4 Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.