SEC Form 4 · accession 0001104659-18-046330
Crinetics Pharmaceuticals, Inc. · CRNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Scott M Rocklage
10% Owner
John D Diekman
10% Owner
5AM Partners IV, LLC
10% Owner
5AM Ventures IV, L.P.
10% Owner
5AM Co-Investors IV, L.P.
10% Owner
Andrew J. Schwab
10% Owner
Period of report
Jul 20, 2018
Accepted (ET)
Jul 20, 2018 · 7:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001658247
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF4,F1,F3 | Jul 20, 2018 | C | 2,797,635 | — | A | 2,797,635 | I | See footnotes |
| Common StockF4,F1,F3 | Jul 20, 2018 | C | 451,274 | — | A | 3,248,909 | I | See footnotes |
| Common StockF4,F2,F3 | Jul 20, 2018 | C | 116,567 | — | A | 116,567 | I | See footnotes |
| Common StockF4,F2,F3 | Jul 20, 2018 | C | 18,802 | — | A | 135,369 | I | See footnotes |
| Common StockF1,F3 | Jul 20, 2018 | P | 110,400 | $17.00 | A | 3,359,309 | I | See footnotes |
| Common StockF2,F3 | Jul 20, 2018 | P | 4,600 | $17.00 | A | 139,969 | I | See footnotes |
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 StockF4,F1,F3 | — | Jul 20, 2018 | C | 9,204,220 | D | — | — | Common Stock | 2,797,635 | 0 | I |
| Series B Preferred StockF4,F1,F3 | — | Jul 20, 2018 | C | 1,484,690 | D | — | — | Common Stock | 451,274 | 0 | I |
| Series A Preferred StockF4,F2,F3 | — | Jul 20, 2018 | C | 383,507 | D | — | — | Common Stock | 116,567 | 0 | I |
| Series B Preferred StockF4,F2,F3 | — | Jul 20, 2018 | C | 61,861 | D | — | — | Common Stock | 18,802 | 0 | I |
Explanation of responses
- F1These securities are held of record by 5AM Ventures IV, L.P. ("Ventures IV"). Following the transactions reported herein, 3,359,309 shares of Common Stock are held of record by Ventures IV.
- F2These securities are held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Following the transactions reported herein, 139,969 shares of Common Stock are held of record by Co-Investors IV.
- F35AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV and Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
- F4Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.