Carlyle Group Inc. - Aug 17, 2022 Form 4 Insider Report for Vera Therapeutics, Inc. (VERA)

Role
10%+ Owner
Signature
The Carlyle Group Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
Stock symbol
VERA
Transactions as of
Aug 17, 2022
Transactions value $
-$91,851
Form type
4
Date filed
8/19/2022, 04:39 PM
Previous filing
Aug 17, 2022
Next filing
Jan 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VERA Class A Common Stock Options Exercise $109K +9.93K +0.34% $11.00 2.97M Aug 17, 2022 See footnotes F1, F2
transaction VERA Class A Common Stock Sale -$65.2K -3.28K -0.11% $19.88 2.97M Aug 17, 2022 See footnotes F1, F2, F3
transaction VERA Class A Common Stock Sale -$132K -6.47K -0.22% $20.42 2.96M Aug 17, 2022 See footnotes F1, F2, F4
transaction VERA Class A Common Stock Sale -$3.62K -172 -0.01% $21.07 2.96M Aug 17, 2022 See footnotes F1, F2, F5

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
transaction VERA Stock Option (right to buy) Options Exercise $0 -9.93K -100% $0.00* 0 Aug 17, 2022 Class A Common Stock 9.93K $11.00 See footnotes F1, F2, F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8.
F2 The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.74 to $19.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.025 to $21.09. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F6 The stock option is fully vested and exercisable.
F7 Under an agreement between Kurt von Emster and Abingworth LLP, Mr. von Emster is deemed to hold the stock option and any shares of Class A Common Stock issuable upon exercise of the stock option for the benefit of ABV 8, and must exercise the stock option solely upon the direction of Abingworth LLP.