Wellington Biomedical Innovation Master Investors (Cayman) II L.P. - Oct 15, 2024 Form 4 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 15, 2024
Transactions value $
$0
Form type
4
Date filed
10/15/2024, 07:21 PM
Previous filing
Oct 10, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction UPB Common Stock Conversion of derivative security +895K 895K Oct 15, 2024 Direct F1

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 UPB Series B redeemable convertible preferred stock Conversion of derivative security $0 -853K -100% $0.00 0 Oct 15, 2024 Common Stock 895K Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Wellington Biomedical Innovation Master Investors (Cayman) II L.P. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Each share of Series B redeemable convertible preferred stock automatically converted into Common Stock on a 1.049-for-one basis upon closing of the Issuer's initial public offering without payment of consideration. The Series B redeemable convertible preferred stock had no expiration date.