Northpond Capital GP, LLC - 07 Oct 2021 Form 3 Insider Report for IsoPlexis Corp

Role
10%+ Owner
Signature
Northpond Capital GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations
Issuer symbol
N/A
Transactions as of
07 Oct 2021
Net transactions value
$0
Form type
3
Filing time
07 Oct 2021, 18:05:59 UTC
Next filing
14 Oct 2021
SEC
View on sec.gov

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 ISO Series C Redeemable Convertible Preferred Stock 07 Oct 2021 Common Stock 2,302,280 See footnote F1, F2
holding ISO Series C-2 Redeemable Convertible Preferred Stock 07 Oct 2021 Common Stock 2,473,048 See footnote F1, F2
holding ISO Series D Redeemable Convertible Preferred Stock 07 Oct 2021 Common Stock 1,528,864 See footnote F1, F2
holding ISO Series D Redeemable Convertible Preferred Stock 07 Oct 2021 Common Stock 1,040,048 See footnote F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock is convertible at any time, at the Reporting Persons' election, on a one-for-8 basis, and will convert automatically upon the Issuer's consummation of an initial public offering. The number of shares held is shown on an as-converted to common stock basis. The preferred stock has no expiration date.
F2 The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP.
F3 The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP.