0001104659-20-113186.txt : 20201007
0001104659-20-113186.hdr.sgml : 20201007
20201007213049
ACCESSION NUMBER: 0001104659-20-113186
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201005
FILED AS OF DATE: 20201007
DATE AS OF CHANGE: 20201007
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 5AM Ventures IV, L.P.
CENTRAL INDEX KEY: 0001589315
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230009
BUSINESS ADDRESS:
STREET 1: 2200 SAND HILL ROAD, SUITE 110
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-233-8600
MAIL ADDRESS:
STREET 1: 2200 SAND HILL ROAD, SUITE 110
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 5AM Co-Investors IV, L.P.
CENTRAL INDEX KEY: 0001593361
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230010
BUSINESS ADDRESS:
STREET 1: 2200 SAND HILL ROAD, SUITE 110
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-530-0413
MAIL ADDRESS:
STREET 1: 2200 SAND HILL ROAD, SUITE 110
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 5AM Partners IV, LLC
CENTRAL INDEX KEY: 0001589314
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230011
BUSINESS ADDRESS:
STREET 1: 2200 SAND HILL ROAD, SUITE 110
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-233-8600
MAIL ADDRESS:
STREET 1: 2200 SAND HILL ROAD, SUITE 110
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 5AM Opportunities I, L.P.
CENTRAL INDEX KEY: 0001753000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230012
BUSINESS ADDRESS:
STREET 1: 501 SECOND STREET, SUITE 350
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94107
BUSINESS PHONE: 415-993-8570
MAIL ADDRESS:
STREET 1: 501 SECOND STREET, SUITE 350
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 5AM Opportunities I (GP), LLC
CENTRAL INDEX KEY: 0001790778
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230013
BUSINESS ADDRESS:
STREET 1: 501 2ND STREET, SUITE 350
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94107
BUSINESS PHONE: (650) 233-86000
MAIL ADDRESS:
STREET 1: 501 2ND STREET, SUITE 350
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DIEKMAN JOHN D
CENTRAL INDEX KEY: 0001240357
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230014
MAIL ADDRESS:
STREET 1: C/O 5 AM VENTURES
STREET 2: 3000 SAND HILL RD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Schwab Andrew J.
CENTRAL INDEX KEY: 0001598549
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230015
MAIL ADDRESS:
STREET 1: C/O 5AM VENTURES, 2200 SAND HILL ROAD
STREET 2: SUITE 110
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PARMAR KUSH
CENTRAL INDEX KEY: 0001664281
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230016
MAIL ADDRESS:
STREET 1: C/O AUDENTES THERAPEUTICS, INC.
STREET 2: 101 MONTGOMERY ST., SUITE 2650
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROCKLAGE SCOTT M
CENTRAL INDEX KEY: 0001219014
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39069
FILM NUMBER: 201230017
MAIL ADDRESS:
STREET 1: 179 SANDY POND ROAD
CITY: LINCOLN
STATE: MA
ZIP: 01773
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Aprea Therapeutics, Inc.
CENTRAL INDEX KEY: 0001781983
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 535 BOYLSTON STREET
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 6095104718
MAIL ADDRESS:
STREET 1: 535 BOYLSTON STREET
CITY: BOSTON
STATE: MA
ZIP: 02116
4
1
a4.xml
4
X0306
4
2020-10-05
1
0001781983
Aprea Therapeutics, Inc.
APRE
0001589315
5AM Ventures IV, L.P.
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001593361
5AM Co-Investors IV, L.P.
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001589314
5AM Partners IV, LLC
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001753000
5AM Opportunities I, L.P.
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001790778
5AM Opportunities I (GP), LLC
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001240357
DIEKMAN JOHN D
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001598549
Schwab Andrew J.
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001664281
PARMAR KUSH
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
0001219014
ROCKLAGE SCOTT M
501 2ND STREET, SUITE 350
SAN FRANCISCO
CA
94107
0
0
0
1
Former 10% holder
Common Stock
2020-10-05
4
S
0
175000
25.30
D
138497
I
See footnotes
Common Stock
1823192
I
See footnotes
Common Stock
75965
I
See footnotes
Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
Shares are held directly by 5AM Ventures IV, L.P.
5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
Shares are held directly by 5AM Co-Investors IV, L.P.
5AM VENTURES IV, L.P. By: 5AM Partners IV, LLC, its General Partner By: /s/ Scott M. Rocklage Managing Member
2020-10-07
5AM CO-INVESTORS IV, L.P. By: 5AM Partners IV, LLC, its General Partner By: /s/ Scott M. Rocklage Managing Member
2020-10-07
5AM PARTNERS IV, LLC By: /s/ Scott M. Rocklage Managing Member
2020-10-07
5AM OPPORTUNITIES I, L.P. By: 5AM Opportunities I (GP), LLC, its General Partner By: /s/ Kush Parmar Managing Member
2020-10-07
5AM OPPORTUNITIES I (GP), LLC By: /s/ Kush Parmar Managing Member
2020-10-07
/s/ John D. Diekman
2020-10-07
/s/ Andrew J. Schwab
2020-10-07
/s/ Kush Parmar
2020-10-07
/s/ Scott M. Rocklage
2020-10-07