Wellington Biomedical Innovation Master Investors (Cayman) II L.P. - Oct 10, 2024 Form 3 Insider Report for Upstream Bio, Inc. (UPB)

Role
10%+ Owner
Signature
Wellington Biomedical Innovation Master Investors (Cayman) II L.P., By: Wellington Management Company LLP, as Investment Adviser, /s/ Jennifer C. Boylan, Authorized Person
Stock symbol
UPB
Transactions as of
Oct 10, 2024
Transactions value $
$0
Form type
3
Date filed
10/10/2024, 08:48 PM
Previous filing
Sep 17, 2024
Next filing
Oct 15, 2024

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 UPB Series B redeemable convertible preferred stock Oct 10, 2024 Common Stock 895K Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Series B redeemable convertible preferred stock is convertible into Common Stock on a 1.049-for-one basis at the option of the holder, and will convert automatically upon closing of the Issuer's initial public offering into the number of shares shown in column 3 without payment of consideration. The Series B redeemable convertible preferred stock has no expiration date.