0001209191-21-059974.txt : 20211007 0001209191-21-059974.hdr.sgml : 20211007 20211007180559 ACCESSION NUMBER: 0001209191-21-059974 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211007 FILED AS OF DATE: 20211007 DATE AS OF CHANGE: 20211007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northpond Ventures, LP CENTRAL INDEX KEY: 0001867472 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211313274 BUSINESS ADDRESS: STREET 1: 7500 OLD GEORGETOWN ROAD STREET 2: SUITE 850 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 240-800-1200 MAIL ADDRESS: STREET 1: 7500 OLD GEORGETOWN ROAD STREET 2: SUITE 850 CITY: BETHESDA STATE: MD ZIP: 20814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northpond Ventures GP, LLC CENTRAL INDEX KEY: 0001867470 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211313275 BUSINESS ADDRESS: STREET 1: 7500 OLD GEORGETOWN ROAD STREET 2: SUITE 850 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 240-800-1200 MAIL ADDRESS: STREET 1: 7500 OLD GEORGETOWN ROAD STREET 2: SUITE 850 CITY: BETHESDA STATE: MD ZIP: 20814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northpond Capital GP, LLC CENTRAL INDEX KEY: 0001871669 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211313277 BUSINESS ADDRESS: STREET 1: 4 BRATTLE STREET, FLOOR 3 CITY: CAMBRIDGE STATE: MA ZIP: 02138 BUSINESS PHONE: 240.800.1200 MAIL ADDRESS: STREET 1: 4 BRATTLE STREET, FLOOR 3 CITY: CAMBRIDGE STATE: MA ZIP: 02138 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rubin Michael P. CENTRAL INDEX KEY: 0001867627 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211313273 MAIL ADDRESS: STREET 1: 7500 OLD GEORGETOWN ROAD STREET 2: SUITE 850 CITY: BETHESDA STATE: MD ZIP: 20814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northpond Capital, L.P. CENTRAL INDEX KEY: 0001871659 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40894 FILM NUMBER: 211313276 BUSINESS ADDRESS: STREET 1: 4 BRATTLE STREET, FLOOR 3 CITY: CAMBRIDGE STATE: MA ZIP: 02138 BUSINESS PHONE: 240.800.1200 MAIL ADDRESS: STREET 1: 4 BRATTLE STREET, FLOOR 3 CITY: CAMBRIDGE STATE: MA ZIP: 02138 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IsoPlexis Corp CENTRAL INDEX KEY: 0001615055 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 462179799 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 35 NE INDUSTRIAL ROAD CITY: BRANFORD STATE: CT ZIP: 06405 BUSINESS PHONE: 203-208-4111 MAIL ADDRESS: STREET 1: 35 NE INDUSTRIAL ROAD CITY: BRANFORD STATE: CT ZIP: 06405 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2021-10-07 0 0001615055 IsoPlexis Corp ISO 0001871669 Northpond Capital GP, LLC 7500 OLD GEORGETOWN ROAD SUITE 850 BETHESDA MD 20814 0 0 1 0 0001871659 Northpond Capital, L.P. 7500 OLD GEORGETOWN ROAD SUITE 850 BETHESDA MD 20814 0 0 1 0 0001867470 Northpond Ventures GP, LLC 7500 OLD GEORGETOWN ROAD SUITE 850 BETHESDA MD 20814 0 0 1 0 0001867472 Northpond Ventures, LP 7500 OLD GEORGETOWN ROAD SUITE 850 BETHESDA MD 20814 0 0 1 0 0001867627 Rubin Michael P. C/O NORTHPOND VENTURES 7500 OLD GEORGETOWN ROAD, SUITE 850 BETHESDA MD 20814 0 0 1 0 Series C Redeemable Convertible Preferred Stock Common Stock 2302280 I See footnote Series C-2 Redeemable Convertible Preferred Stock Common Stock 2473048 I See footnote Series D Redeemable Convertible Preferred Stock Common Stock 1528864 I See footnote Series D Redeemable Convertible Preferred Stock Common Stock 1040048 I See footnote Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock is convertible at any time, at the Reporting Persons' election, on a one-for-8 basis, and will convert automatically upon the Issuer's consummation of an initial public offering. The number of shares held is shown on an as-converted to common stock basis. The preferred stock has no expiration date. The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP. The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP. Northpond Capital GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-10-07 Northpond Capital, LP, By: Northpond Capital GP, LLC, its general partner, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-10-07 Northpond Ventures GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-10-07 Northpond Ventures, LP, By: Northpond Ventures GP, LLC, its general partner, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-10-07 /s/ Michael P. Rubin 2021-10-07