Whitehawk Therapeutics, Inc. — Director's Dealing 2017

Mar 17, 2017

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Aerpio Pharmaceuticals, Inc. (NONE)
CIK: 0001422142
Period of Report: 2017-03-15

Reporting Person: Castelein Caley (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1211408	Indirect

Footnotes

F1: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of March 7, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Company merged with and into Aerpio Therapeutics, Inc. ("Aerpio"). Pursuant to the Merger Agreement, the then outstanding shares of Aerpio's common stock and outstanding shares of each series of Aerpio's preferred stock were cancelled and were automatically converted into the right to received shares of the Company's common stock on a 2.3336572-1 basis upon closing of the merger.

F2: Consists of (i) 1,179,470 shares of Common Stock owned directly by Kearny Venture Partners, L.P., or KVP, (ii) 24,056 shares of Common Stock owned directly by Kearny Venture Partners Entrepreneurs Fund, L.P., or KVPE, and (iii) 7,882 shares of Common Stock owned directly by TWHVP SPV, LLC, or TWHVP. The general partner of both KVP and KVPE is Kearny Venture Associates, L.L.C., or KVA. KVA has the sole voting and investment control over the shares owned by KVP and KVPE, and the Managing Members of KVA share in the voting and investment control over such shares controlled by KVA.

F3: (Continued from Footnote 2) The Managing Members of KVA are Caley Castelein, Richard Spalding and James Shapiro. None of the Managing Members of KVA has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. The general partner of TWHVP is Kearny Venture Associates II, LLC or KVA II. KVA II has the sole voting and investment control over the shares owned by TWHVP and the Managing Members of KVA II have sole voting and investment control over the shares controlled by KVA II. The Managing Members of KVA II are Caley Castelein, Anupam Dalal and Andrew Jensen. None of the Managing Members of KVA II has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.