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CASTLE BIOSCIENCES INC — Director's Dealing 2019
Jul 27, 2019
32601_dirs_2019-07-26_aaf6e2f6-6f92-4375-9cf3-94c32c4e67ec.zip
Director's Dealing
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SEC Form 3/A — Form 3/A
Issuer: CASTLE BIOSCIENCES INC (CSTL)
CIK: 0001447362
Period of Report: 2019-07-24
Reporting Person: Sofinnova HealthQuest Partners, L.P. (10% Owner)
Reporting Person: HealthQuest Venture Management, L.L.C. (10% Owner)
Reporting Person: Kong Garheng (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (16015) | Direct | ||
| Series E-2 Preferred Stock | $ | Common Stock (358416) | Direct | ||
| Series E-3 Preferred Stock | $ | Common Stock (318842) | Direct | ||
| Series F Preferred Stock | $ | Common Stock (982785) | Direct | ||
| Series F Preferred Stock Warrant (right to buy) | $0.01 | 2023-01-12 | Common Stock (11572) | Direct | |
| Convertible Promissory Note | $ | Common Stock () | Direct |
Footnotes
F1: All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration at a rate of one share of Common Stock for each 1.219 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date.
F2: The principal amount of the Convertible Promissory Note held by the designated Reporting Person is $1,027,882. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") will automatically convert into the number of shares of Common Stock that is equal to the Conversion Amount as of the closing date divided by 80% of the IPO price per share.
F3: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein.