SEC Form 4 · accession 0001567619-18-003541
Gritstone Oncology, Inc. · GRTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Woiwode
Director · 10% Owner
Period of report
Oct 2, 2018
Accepted (ET)
Oct 2, 2018 · 5:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001656634
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Oct 2, 2018 | C | 3,102,929 | — | A | 3,102,929 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF4,F1 | — | Oct 2, 2018 | C | 2,173,909 | D | — | — | Common Stock | 2,173,909 | 0 | I |
| Series B Convertible Preferred StockF5,F2 | — | Oct 2, 2018 | C | 929,020 | D | — | — | Common Stock | 929,020 | 0 | I |
Explanation of responses
- F1The Series A Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- F2The Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- F3Consists of (I) 2,723,031 shares held by Versant Venture Capital V, L.P. ("VVC V"), (ii) 207,234 shares held by Versant Venture Capital V (Canada) LP ("VVC CAN"), (iii) 90.756 shares held by Versant Ophthalmic Affiliates Fund I, L.P. ("VOA"), and (iv) 81,908 shares held by Versant Affiliates Fund V, L.P. ("VAF V"). Versant Ventures V, LLC, or VV V,serves as the sole general partner of VOA, VAF V and VVC V and owns no shares directly. Versant Ventures V (Canada) GP-GP, Inc. ("VV V CAN GP"), serves as the sole general partner of Versant Ventures V (Canada), L.P. ("VV V CAN"), which serves as the sole general partner of VVC CAN and owns no shares directly. The Reporting Person is a managing director of VV V and a director of VV V CAN GP and shares voting and dispositive power over the shares held by VOA, VAF V, VVC V and VVC CAN. He disclaims beneficial ownership of the shares held by VOA, VAF V, VVC V and VVC CAN, except to the extent of his pecuniary interest therein.
- F4Consists of (I) 1,907,729 shares held by Versant Venture Capital V, L.P. ("VVC V"), (ii) 145,186 shares held by Versant Venture Capital V (Canada) LP ("VVC CAN"), (iii) 63,610 shares held by Versant Ophthalmic Affiliates Fund I, L.P. ("VOA"), and (iv) 57,384 shares held by Versant Affiliates Fund V, L.P. ("VAF V"). Versant Ventures V, LLC, or VV V, serves as the sole general partner of VOA, VAF V and VVC V and owns no shares directly. Versant Ventures V (Canada) GP-GP, Inc. ("VV V CAN GP"), serves as the sole general partner of Versant Ventures V (Canada), L.P. ("VV V CAN"), which serves as the sole general partner of VVC CAN and owns no shares directly. The Reporting Person is a managing director of VV V and a director of VV V CAN GP and shares voting and dispositive power over the shares held by VOA, VAF V, VVC V and VVC CAN. He disclaims beneficial ownership of the shares held by VOA, VAF V, VVC V and VVC CAN, except to the extent of his pecuniary interest therein.
- F5Consists of (I) 815,302 shares held by Versant Venture Capital V, L.P. ("VVC V"), (ii) 62,048 shares held by Versant Venture Capital V (Canada) LP ("VVC CAN"), (iii) 27,146 shares held by Versant Ophthalmic Affiliates Fund I, L.P. ("VOA"), and (iv) 24,524 shares held by Versant Affiliates Fund V, L.P. ("VAF V"). Versant Ventures V, LLC, or VV V, serves as the sole general partner of VOA, VAF V and VVC V and owns no shares directly. Versant Ventures V (Canada) GP-GP, Inc. ("VV V CAN GP"), serves as the sole general partner of Versant Ventures V (Canada), L.P. ("VV V CAN"), which serves as the sole general partner of VVC CAN and owns no shares directly.The Reporting Person is a managing director of VV V and a director of VV V CAN GP and shares voting and dispositive power over the shares held by VOA, VAF V, VVC V and VVC CAN. He disclaims beneficial ownership of the shares held by VOA, VAF V, VVC V and VVC CAN, except to the extent of his pecuniary interest therein.