0000899243-21-036646.txt : 20210920 0000899243-21-036646.hdr.sgml : 20210920 20210920211952 ACCESSION NUMBER: 0000899243-21-036646 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210917 FILED AS OF DATE: 20210920 DATE AS OF CHANGE: 20210920 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Northpond Ventures, LP CENTRAL INDEX KEY: 0001867472 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40794 FILM NUMBER: 211264594 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40794 FILM NUMBER: 211264595 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 II, LP CENTRAL INDEX KEY: 0001869128 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40794 FILM NUMBER: 211264592 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: Rubin Michael P. CENTRAL INDEX KEY: 0001867627 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40794 FILM NUMBER: 211264591 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 II, LLC CENTRAL INDEX KEY: 0001869114 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40794 FILM NUMBER: 211264593 BUSINESS ADDRESS: STREET 1: 7500 OLD GEORGETOWN ROAD STREET 2: SUITE 850 CITY: BESTHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: 240-800-1200 MAIL ADDRESS: STREET 1: 7500 OLD GEORGETOWN ROAD STREET 2: SUITE 850 CITY: BESTHESDA STATE: MD ZIP: 20814 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DICE Therapeutics, Inc. CENTRAL INDEX KEY: 0001645569 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 472286244 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 279 E. GRAND AVENUE, SUITE 300, LOBBY B CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-566-1402 MAIL ADDRESS: STREET 1: 279 E. GRAND AVENUE, SUITE 300, LOBBY B CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: DiCE MOLECULES HOLDINGS, LLC DATE OF NAME CHANGE: 20180725 FORMER COMPANY: FORMER CONFORMED NAME: DiCE Molecules Holdings, LLC DATE OF NAME CHANGE: 20150617 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-09-17 0 0001645569 DICE Therapeutics, Inc. DICE 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 0001869114 Northpond Ventures GP II, LLC 7500 OLD GEORGETOWN ROAD, SUITE 850 BETHESDA MD 20814 0 0 1 0 0001869128 Northpond Ventures II, LP 7500 OLD GEORGETOWN ROAD, SUITE 850 BETHESDA MD 20814 0 0 1 0 0001867627 Rubin Michael P. 7500 OLD GEORGETOWN ROAD, SUITE 850 BETHESDA MD 20814 0 0 1 0 Common Stock 2021-09-17 4 C 0 2603075 A 2603075 I By: Northpond Ventures, LP Common Stock 2021-09-17 4 C 0 454796 A 3057871 I By: Northpond Ventures II, LP Common Stock 2021-09-17 4 P 0 235000 17.00 A 3292871 I By: Northpond Ventures II, LP Series B Convertible Preferred Stock 2021-09-17 4 C 0 1735388 D Common Stock 1735388 0 I By: Northpond Ventures, LP Series C Convertible Preferred Stock 2021-09-17 4 C 0 867687 D Common Stock 867687 0 I By: Northpond Ventures, LP Series C-1 Convertible Preferred Stock 2021-09-17 4 C 0 454796 D Common Stock 454796 0 I By: Northpond Ventures II, LP Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Northpond Ventures GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-09-20 Northpond Ventures, LP, By: Northpond Ventures GP, LLC, its general partner, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-09-20 Northpond Ventures GP II, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-09-20 Northpond Ventures II, LP, By: Northpond Ventures GP II, LLC, its general partner, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 2021-09-20 /s/ Michael P. Rubin 2021-09-20