Oric Pharmaceuticals, Inc. — Director's Dealing 2020

Apr 28, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Oric Pharmaceuticals, Inc. (ORIC)
CIK: 0001796280
Period of Report: 2020-04-28

Reporting Person: Topspin Fund L.P. (10% Owner)
Reporting Person: Topspin Biotech Fund II, L.P. (10% Owner)
Reporting Person: LG Management, LLC (10% Owner)
Reporting Person: GUTHART LEO (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-04-28	Common Stock	C	231250	—	Acquired	231250	Direct
2020-04-28	Common Stock	C	497809	—	Acquired	729059	Direct
2020-04-28	Common Stock	C	314815	—	Acquired	1043874	Direct
2020-04-28	Common Stock	C	2268750	—	Acquired	2268750	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-04-28	Series B Preferred Stock	$	C	231250	Disposed		Common Stock (231250)	Direct
2020-04-28	Series C Preferred Stock	$	C	497809	Disposed		Common Stock (497809)	Direct
2020-04-28	Series D Preferred Stock	$	C	314815	Disposed		Common Stock (314815)	Direct
2020-04-28	Series B Preferred Stock	$	C	2268750	Disposed		Common Stock (2268750)	Indirect

Footnotes

F1: Each of the Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock for no additional consideration and has no expiration date.

F2: The shares are held of record by Topspin Fund, L.P. LG Management, LLC, the general partner of Topspin Fund, L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.

F3: The shares are held of record by Topspin Biotech Fund II, L.P. LG Management, LLC, the general partner of Topspin Biotech Fund II, L.P., may be deemed to have voting and dispositive power with respect to the shares. Leo A. Guthart, the managing member of LG Management, LLC, may also be deemed to have voting and dispositive power with respect to the shares. Each of LG Management, LLC and Leo A. Guthart disclaims beneficial ownership of the shares, except to the extent of their respective indirect pecuniary interests in such shares.