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