Douglas E. Onsi - Nov 13, 2024 Form 4 Insider Report for LEAP THERAPEUTICS, INC. (LPTX)

Role
CEO,CFO,Pres.,GC,Treas.&Sec., Director
Signature
/s/ Douglas E. Onsi
Stock symbol
LPTX
Transactions as of
Nov 13, 2024
Transactions value $
$6,024
Form type
4
Date filed
11/15/2024, 05:30 PM
Previous filing
Oct 4, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LPTX Common Stock Exercise of in-the-money or at-the-money derivative security $6.02K +2.14K +0.32% $2.82 678K Nov 13, 2024 See footnotes F1, F2, F3
holding LPTX Common Stock 73.6K Nov 13, 2024 Direct

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 LPTX Warrant (Right to Buy) Exercise of in-the-money or at-the-money derivative security $0 -2.14K -100% $0.00 0 Nov 13, 2024 Common Stock, $0.001 par value per share 2.14K $2.82 See Footnote F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On November 13, 2024, Nine Capital Partners, LLC ("Nine Capital Partners") exercised a warrant to purchase 2,136 shares of the Issuer's common stock at an exercise price of $2.82 per share. The reporting person is a managing member of Nine Capital Partners and may be deemed to have had beneficial ownership of such warrant exercised by Nine Capital Partners and to have beneficial ownership of the 2,136 shares of Common Stock purchased by Nine Capital Partners upon exercise of such warrant. The reporting person disclaims beneficial ownership of such warrant and of such shares of Common Stock, except to the extent of the reporting person's proportionate pecuniary interest in such warrant and such shares of Common Stock.
F2 Includes (i) 2,136 shares of Common Stock held by Nine Capital Partners, (ii) 414,480 shares of Common Stock held by HealthCare Ventures IX, L.P. ("HCV IX"), and (iii) 261,840 shares of Common Stock held by the HCV VIII Trust ("HCV Trust"). See footnote (1) above for an explanation of the reporting person's beneficial ownership of the 2,136 shares of Common Stock held by Nine Capital Partners. The reporting person is a Managing Director of HCPIX LLC, which is the General Partner of HealthCare Partners IX, which is the General Partner of HCV IX and may be deemed to have beneficial ownership of the 414,480 shares of Common Stock held by HCV IX. The reporting person is a beneficiary of the HCV Trust and may be deemed to have beneficial ownership of the 261,840 shares of Common Stock held by the HCV Trust.
F3 The reporting person disclaims beneficial ownership of such shares of Common Stock held by each of Nine Capital Partners, HCV IX, and the HCV Trust, except to the extent of the reporting person's proportionate pecuniary interest in such shares of Common Stock.