0001104659-20-121613.txt : 20201105 0001104659-20-121613.hdr.sgml : 20201105 20201105085659 ACCESSION NUMBER: 0001104659-20-121613 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201104 FILED AS OF DATE: 20201105 DATE AS OF CHANGE: 20201105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GUTHART LEO CENTRAL INDEX KEY: 0001200183 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39269 FILM NUMBER: 201288982 MAIL ADDRESS: STREET 1: C/O APTUR GROUP INC STREET 2: 475 W TERRA COTTA AVE STE E CITY: CRYSTAL LAKE STATE: IL ZIP: 60014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LG Management, LLC CENTRAL INDEX KEY: 0001685869 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39269 FILM NUMBER: 201288984 BUSINESS ADDRESS: STREET 1: THREE EXPRESSWAY PLAZA CITY: ROSLYN HEIGHTS STATE: NY ZIP: 11577 BUSINESS PHONE: 5166259400 MAIL ADDRESS: STREET 1: THREE EXPRESSWAY PLAZA CITY: ROSLYN HEIGHTS STATE: NY ZIP: 11577 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Topspin Biotech Fund II, L.P. CENTRAL INDEX KEY: 0001745827 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39269 FILM NUMBER: 201288985 BUSINESS ADDRESS: STREET 1: 3 EXPRESSWAY PLAZA CITY: ROSLYN HEIGHTS STATE: NY ZIP: 11577 BUSINESS PHONE: 516-625-9400 MAIL ADDRESS: STREET 1: 3 EXPRESSWAY PLAZA CITY: ROSLYN HEIGHTS STATE: NY ZIP: 11577 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Topspin Fund L.P. CENTRAL INDEX KEY: 0001615782 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39269 FILM NUMBER: 201288986 BUSINESS ADDRESS: STREET 1: THREE EXPRESSWAY PLAZA CITY: ROSLYN HEIGHTS STATE: NY ZIP: 11577 BUSINESS PHONE: 516-625-9400 MAIL ADDRESS: STREET 1: THREE EXPRESSWAY PLAZA CITY: ROSLYN HEIGHTS STATE: NY ZIP: 11577 FORMER NAME: FORMER CONFORMED NAME: Topspin Fund, L.P. DATE OF NAME CHANGE: 20140805 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Oric Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001796280 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 471787157 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 240 E. GRAND AVE. STREET 2: 2ND FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (650) 388-5600 MAIL ADDRESS: STREET 1: 240 E. GRAND AVE. STREET 2: 2ND FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 tm2035065-2_4.xml OWNERSHIP DOCUMENT X0306 4 2020-11-04 1 0001796280 Oric Pharmaceuticals, Inc. ORIC 0001615782 Topspin Fund L.P. 3 EXPRESSWAY PLAZA ROSLYN HEIGHTS NY 11577 0 0 1 0 0001745827 Topspin Biotech Fund II, L.P. 3 EXPRESSWAY PLAZA ROSLYN HEIGHTS NY 11577 0 0 1 0 0001685869 LG Management, LLC 3 EXPRESSWAY PLAZA ROSLYN HEIGHTS NY 11577 0 0 1 0 0001200183 GUTHART LEO 3 EXPRESSWAY PLAZA ROSLYN HEIGHTS NY 11577 0 0 1 0 Common Stock 2020-11-04 4 S 0 2268750 D 1100446 I See Footnote Consists of (1) 1,043,874 shares held of record by Topspin Fund, LP.; and (2) 56,572 shares owned by Leo A Guthart, individually. Each of Topspin Fund, LP and Leo A. Guthart disclaims beneficial ownership of the shares held of recod by the other. On November 4, 2020, Topspin Biotech Fund II, L.P. distributed the 2,268,750 shares owned by it as follows: (1) 2,155,607 shares were distributed in-kind to its limited partners; and (2) 113,143 were distributed at the direction of LG Management, LLC, the general partner of Topspin Biotech Fund II, L.P., as follows: (a) 56,572 were distributed to Leo A. Guthart, the managing member of LG Management, LLC; and (b) an aggregate of 56,571 were distributed to two third-parties. The 113,143 shares distributed at the direction of LG Management, LLC were shares to which it was entitled in its capacity as general partner of Topspin Biotech Fund II, L.P. 1,043,874 of such shares are held directly 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. TOPSPIN FUND L.P., /s/ Leo A. Guthart, Managing Member of the General Partner 2020-11-05 TOPSPIN BIOTECH FUND II, L.P., /s/ Leo A. Guthart, Managing Member of the General Partner 2020-11-05 LG MANAGEMENT, LLC, /s/ Leo A. Guthart, Managing Member 2020-11-05 /s/ Leo A. Guthart 2020-11-05