SEC Form 4 · accession 0000899243-19-003683

Harpoon Therapeutics, Inc. · HARP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Feb 12, 2019

Accepted (ET)

Feb 14, 2019 · 6:01 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001708493

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common stock^F1,F2	Feb 12, 2019	C	2,463,548	—	A	2,463,548	I	See Footnote
Common stock^F2	Feb 12, 2019	P	428,571	$14.00	A	2,892,119	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Convertible Preferred Stock^F2,F1	—	Feb 12, 2019	C	1,720,698	D	—	—	Common Stock	1,720,698	0	I
Series C Convertible Preferred Stock^F2,F1	—	Feb 12, 2019	C	742,850	D	—	—	Common Stock	742,850	0	I

F1The Series B Convertible Preferred Stock and the Series C Convertible Preferred Stock converted into Harpoon Therapeutics, Inc. (the "Issuer") common stock, on a one-for-one basis, effective upon closing of the Issuer's initial public offering.
F2These shares are owned directly by Arix Bioscience Holdings Limited, which is a wholly owned subsidiary of Arix Bioscience Plc. Arix Bioscience Plc is an indirect beneficial owner of the reported securities and disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.