0001209191-14-077779.txt : 20141223 0001209191-14-077779.hdr.sgml : 20141223 20141223165555 ACCESSION NUMBER: 0001209191-14-077779 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141219 FILED AS OF DATE: 20141223 DATE AS OF CHANGE: 20141223 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Juno Therapeutics, Inc. CENTRAL INDEX KEY: 0001594864 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 463656275 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 307 WESTLAKE AVENUE NORTH, SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98109 BUSINESS PHONE: 2066960703 MAIL ADDRESS: STREET 1: 307 WESTLAKE AVENUE NORTH, SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CL Alaska, L.P. CENTRAL INDEX KEY: 0001626595 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36781 FILM NUMBER: 141307499 BUSINESS ADDRESS: STREET 1: C/O CRESTLINE INVESTORS, INC. STREET 2: 201 MAIN STREET, SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 817-339-7600 MAIL ADDRESS: STREET 1: C/O CRESTLINE INVESTORS, INC. STREET 2: 201 MAIN STREET, SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crestline Management, LP CENTRAL INDEX KEY: 0001536054 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36781 FILM NUMBER: 141307500 BUSINESS ADDRESS: STREET 1: 201 MAIN STREET STREET 2: SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 817.339.7483 MAIL ADDRESS: STREET 1: 201 MAIN STREET STREET 2: SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crestline SI (GP), L.P. CENTRAL INDEX KEY: 0001626597 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36781 FILM NUMBER: 141307501 BUSINESS ADDRESS: STREET 1: C/O CRESTLINE INVESTORS, INC. STREET 2: 201 MAIN STREET, SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 817-339-7600 MAIL ADDRESS: STREET 1: C/O CRESTLINE INVESTORS, INC. STREET 2: 201 MAIN STREET, SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crestline Investors, Inc. CENTRAL INDEX KEY: 0001626596 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36781 FILM NUMBER: 141307502 BUSINESS ADDRESS: STREET 1: 201 MAIN STREET, SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 817-339-7600 MAIL ADDRESS: STREET 1: 201 MAIN STREET, SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRATTON DOUGLAS K CENTRAL INDEX KEY: 0001281933 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36781 FILM NUMBER: 141307503 MAIL ADDRESS: STREET 1: 201 MAIN STREET STREET 2: SUITE 1900 CITY: FORT WORTH STATE: TX ZIP: 76102 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-12-19 0 0001594864 Juno Therapeutics, Inc. JUNO 0001281933 BRATTON DOUGLAS K 201 MAIN STREET, SUITE 1900 FORT WORTH TX 76102 0 0 1 0 0001626596 Crestline Investors, Inc. 201 MAIN STREET, SUITE 1900 FORT WORTH TX 76102 0 0 1 0 0001626597 Crestline SI (GP), L.P. 201 MAIN STREET, SUITE 1900 FORT WORTH TX 76102 0 0 1 0 0001536054 Crestline Management, LP 201 MAIN STREET, SUITE 1900 FORT WORTH TX 76102 0 0 1 0 0001626595 CL Alaska, L.P. 201 MAIN STREET, SUITE 1900 FORT WORTH TX 76102 0 0 1 0 Common Stock 2014-12-19 4 P 0 625000 25.00 A 988398 I By CL Alaska, L.P. Common Stock 2014-12-23 4 C 0 13750000 A 14738398 I By CL Alaska, L.P. Common Stock 2014-12-23 4 C 0 8750000 A 23488398 I By CL Alaska, L.P. Common Stock 2014-12-23 4 C 0 2277732 A 25766130 I By CL Alaska, L.P. Common Stock 2014-12-23 4 C 0 1250000 A 1250000 I By JT Line Partners L.P. Common Stock 2014-12-23 4 C 0 68395 A 1318395 I By JT Line Partners L.P. Series A Preferred Stock 2014-12-23 4 C 0 13750000 D Common Stock 13750000 0 I By CL Alaska, L.P. Series A-2 Preferred Stock 2014-12-23 4 C 0 8750000 D Common Stock 8750000 0 I By CL Alaska, L.P. Series B Preferred Stock 2014-12-23 4 C 0 2277732 D Common Stock 2277732 0 I By CL Alaska, L.P. Series A-2 Preferred Stock 2014-12-23 4 C 0 1250000 D Common Stock 1250000 0 I By JT Line Partners L.P. Series B Preferred Stock 2014-12-23 4 C 0 68395 D Common Stock 68395 0 I By JT Line Partners L.P. The Series A Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. The Series A-2 Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. The Series B Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. These shares are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares. CLA, Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own all of these shares. Each such entity and Mr. Bratton disclaim beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. These shares are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares. CLA, Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own all of these shares. Each such entity and Mr. Bratton disclaim beneficial ownership of these shares except to the extent of its or his respective pecuniary interest therein. /s/ Douglas K. Bratton 2014-12-23 /s/ John S. Cochran, Vice President of Crestline Investors, Inc. 2014-12-23 /s/ John S. Cochran, Vice President of Crestline Investors, Inc., general partner of Crestline SI (GP), L.P. 2014-12-23 /s/ John S. Cochran, Vice President of Crestline Investors, Inc., general partner of Crestline Management, L.P. 2014-12-23 /s/ John S. Cochran, Vice President of Crestline Investors, Inc., general partner of Crestline SI (GP), L.P., general partner of CL Alaska, L.P. 2014-12-23