SEC Form 4 · accession 0001209191-19-010297

Harpoon Therapeutics, Inc. · HARP

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

Reporting owner

Director · 10% Owner

Period of report

Nov 9, 2018

Accepted (ET)

Feb 14, 2019 · 5:24 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	1,720,698	—	A	1,720,698	I	By Arix Bioscience Holdings Limited
Common Stock^F1,F2	Feb 12, 2019	C	742,850	—	A	2,463,548	I	By Arix Bioscience Holdings Limited
Common Stock^F2	Feb 12, 2019	P	428,571	$14.00	A	2,892,119	I	By Arix Bioscience Holdings Limited

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Preferred Stock^F1,F2	—	Nov 9, 2018	P	742,850	A	—	—	Common Stock	742,850	742,850	I
Director Stock Option (Right to Buy)^F4	$2.12	Dec 19, 2018	A	20,335	A	—	Dec 19, 2028	Common Stock	20,335	20,335	D
Series B Preferred Stock^F1,F2	—	Feb 12, 2019	C	1,720,698	D	—	—	Common Stock	1,720,698	0	I
Series C Preferred Stock^F1,F2	—	Feb 12, 2019	C	742,850	D	—	—	Common Stock	742,850	0	I

F1All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering.
F2The Reporting Person is an Investment Director for Arix Bioscience plc, the parent company of Arix Bioscience Holdings Limited.
F3Reflects a transaction with the Issuer prior to its Section 12 registration which occurred within 6 months of the post-registration transaction reported on this Form 4.
F4The stock option vests in three annual installments starting on December 19, 2019, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.