SEC Form 4 · accession 0001012975-15-000646
Global Blood Therapeutics, Inc. · GBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mark J Levin
10% Owner
Robert I Tepper
10% Owner
Third Rock Ventures III, L.P.
10% Owner
TRV GP III, LLC
10% Owner
Third Rock Ventures GP III, L.P.
10% Owner
Period of report
Aug 17, 2015
Accepted (ET)
Aug 19, 2015 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001629137
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Aug 17, 2015 | C | 2,285,713 | — | A | 2,285,713 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF3,F1,F2 | — | Aug 17, 2015 | C | 8,000,000 | D | — | — | Common Stock | 8,000,000 | 0 | D |
Explanation of responses
- F1The aggregate number of shares of Issuer's Preferred Stock held by the Reporting Person converted into Common Stock immediately prior to the closing of the Issuer's initial public offering and has no expiration date. These shares converted into Common Stock on a 3.5-for-1 basis.
- F2Reflects the conversion of the Issuer's Preferred Stock into Common Stock on a 3.5-for-1 basis, which became effective immediately prior to the closing of the Issuer's initial public offering.
- F3The shares are directly held by Third Rock Ventures III, L.P. ("TRV"). The general partner of TRV is Third Rock Ventures GP III, L.P. ("TRV GP"). The general partner of TRV GP is TRV GP III, LLC ("TRV GP LLC"). The individual managers of TRV GP LLC are Mark Levin ("Levin"), Kevin Starr ("Starr") and Dr. Robert Tepper ("Tepper") and, as such, each of TRV GP, TRV GP LLC, Levin, Starr and Tepper exercises shared voting and investment power over the shares held of record by TRV. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any.