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Oric Pharmaceuticals, Inc. — Director's Dealing 2020
Apr 24, 2020
32131_dirs_2020-04-23_db3c325a-6d42-494f-a662-e759ee82cf52.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Oric Pharmaceuticals, Inc. (ORIC)
CIK: 0001796280
Period of Report: 2020-04-23
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)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B Preferred Stock | $ | Common Stock (231250) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (497809) | Direct | ||
| Series D Preferred Stock | $ | Common Stock (314815) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (2268750) | Indirect |
Footnotes
F1: Each of the Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock shall automatically convert 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 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.