Gregory P. Ho - 12 Oct 2021 Form 4 Insider Report for IsoPlexis Corp

Role
Director, 10%+ Owner
Signature
/s/ Shane Sevier, attorney-in-fact for Gregory P. Ho
Issuer symbol
N/A
Transactions as of
12 Oct 2021
Net transactions value
$0
Form type
4
Filing time
14 Oct 2021, 16:22:04 UTC
Previous filing
07 Oct 2021
Next filing
21 Jun 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ISO Common Stock Conversion of derivative security +894,128 894,128 12 Oct 2021 See Note 3 F1, F2, F3
transaction ISO Common Stock Conversion of derivative security +338,959 +38% 1,233,087 12 Oct 2021 See Note 3 F1, F3, F4
transaction ISO Common Stock Conversion of derivative security +630,209 +51% 1,863,296 12 Oct 2021 See Note 3 F1, F3, F5
transaction ISO Common Stock Conversion of derivative security +739,033 +40% 2,602,329 12 Oct 2021 See Note 3 F1, F3, F6
transaction ISO Common Stock Conversion of derivative security +689,267 +26% 3,291,596 12 Oct 2021 See Note 3 F1, F3, F7
transaction ISO Common Stock Conversion of derivative security +435,136 +13% 3,726,732 12 Oct 2021 See Note 3 F1, F3, F8
transaction ISO Common Stock Conversion of derivative security +744,083 744,083 12 Oct 2021 See Note 10 F1, F9, F10
transaction ISO Common Stock Conversion of derivative security +459,781 +62% 1,203,864 12 Oct 2021 See Note 10 F1, F10, F11
transaction ISO Common Stock Conversion of derivative security +415,337 +35% 1,619,201 12 Oct 2021 See Note 10 F1, F10, F12
transaction ISO Common Stock Conversion of derivative security +215,950 +13% 1,835,151 12 Oct 2021 See Note 10 F1, F10, F13
transaction ISO Common Stock Conversion of derivative security +435,136 +24% 2,270,287 12 Oct 2021 See Note 10 F1, F8, F10
transaction ISO Common Stock Conversion of derivative security +67,642 67,642 12 Oct 2021 See Note 15 F1, F14, F15

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 ISO Series A Redeemable Convertible Preferred Stock Conversion of derivative security $0 -107,604 -100% $0.000000* 0 12 Oct 2021 Common Stock 860,832 See Note 3 F1, F3
transaction ISO Series A-2 Redeemable Convertible Preferred Stock Conversion of derivative security $0 -39,726 -100% $0.000000* 0 12 Oct 2021 Common Stock 317,808 See Note 3 F1, F3
transaction ISO Series A-2 Redeemable Convertible Preferred Stock Conversion of derivative security $0 -87,398 -100% $0.000000* 0 12 Oct 2021 Common Stock 699,184 See Note 10 F1, F10
transaction ISO Series A-2 Redeemable Convertible Preferred Stock Conversion of derivative security $0 -7,945 -100% $0.000000* 0 12 Oct 2021 Common Stock 63,560 See Note 15 F1, F15
transaction ISO Series B Redeemable Convertible Preferred Stock Conversion of derivative security $0 -73,571 -100% $0.000000* 0 12 Oct 2021 Common Stock 588,568 See Note 3 F1, F3
transaction ISO Series B Redeemable Convertible Preferred Stock Conversion of derivative security $0 -53,480 -100% $0.000000* 0 12 Oct 2021 Common Stock 427,840 See Note 10 F1, F10
transaction ISO Series B-2 Redeemable Convertible Preferred Stock Conversion of derivative security $0 -84,347 -100% $0.000000* 0 12 Oct 2021 Common Stock 674,776 See Note 3 F1, F3
transaction ISO Series B-2 Redeemable Convertible Preferred Stock Conversion of derivative security $0 -47,403 -100% $0.000000* 0 12 Oct 2021 Common Stock 379,224 See Note 10 F1, F10
transaction ISO Series C Redeemable Convertible Preferred Stock Conversion of derivative security $0 -78,999 -100% $0.000000* 0 12 Oct 2021 Common Stock 631,992 See Note 3 F1, F3
transaction ISO Series C Redeemable Convertible Preferred Stock Conversion of derivative security $0 -24,833 -100% $0.000000* 0 12 Oct 2021 Common Stock 198,664 See Note 10 F1, F10
transaction ISO Series C-2 Redeemable Convertible Preferred Stock Conversion of derivative security $0 -51,522 -100% $0.000000* 0 12 Oct 2021 Common Stock 412,176 See Note 3 F1, F3
transaction ISO Series C-2 Redeemable Convertible Preferred Stock Conversion of derivative security $0 -51,522 -100% $0.000000* 0 12 Oct 2021 Common Stock 412,176 See Note 10 F1, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
F2 Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F3 The Reporting Person is a managing member of Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"). SMC GP is the managing member of SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"). GCII GP is the general partner of SMC Growth Capital Partners II, LP ("GCII"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GCII in which the Reporting Person has no pecuniary interest.
F4 Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F5 Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F6 Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F7 Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F8 Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F9 Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F10 The Reporting Person is a managing member of SMC GP. SMC GP is the managing member of SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"). PEH GP is the general partner of SMC Private Equity Holdings, LP ("PEH"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by PEH in which the Reporting Person has no pecuniary interest.
F11 Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F12 Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F13 Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F14 Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F15 The Reporting Person is a managing member of SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"). Holdings GP is the general partner of SMC Holdings II, LP ("Holdings"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by Holdings in which the Reporting Person has no pecuniary interest.