X0508 4 2023-10-25 0 0001708493 Harpoon Therapeutics, Inc. HARP 0001735293 New Leaf Biopharma Opportunities II, L.P. C/O NEW LEAF VENTURES 156 FIFTH AVENUE, SUITE 820 NEW YORK NY 10010 0 0 1 0 0001625653 New Leaf Ventures III, L.P. C/O NEW LEAF VENTURES 156 FIFTH AVENUE, SUITE 830 NEW YORK NY 10010 0 0 1 0 0001625656 New Leaf Venture Associates III, L.P. C/O NEW LEAF VENTURES 156 FIFTH AVENUE, SUITE 830 NEW YORK NY 10010 0 0 1 0 0001625657 New Leaf Venture Management III, L.L.C. C/O NEW LEAF VENTURES 156 FIFTH AVENUE, SUITE 830 NEW YORK NY 10010 0 0 1 0 0001740783 New Leaf BPO Associates II, L.P. C/O NEW LEAF VENTURES 156 FIFTH AVENUE, SUITE 830 NEW YORK NY 10010 0 0 1 0 0001740755 New Leaf BPO Management II, L.L.C C/O NEW LEAF VENTURES 156 FIFTH AVENUE, SUITE 830 NEW YORK NY 10010 0 0 1 0 0001340806 Lathi Vijay K C/O NEW LEAF VENTURES 156 FIFTH AVENUE, SUITE 830 NEW YORK NY 10010 0 0 1 0 0 Common Stock 2023-10-25 4 P 0 1372000 A 1463386 D Common Stock 2023-10-25 4 P 0 171500 A 395783 I See Footnote 8.000% Series A Redeemable Preferred Stock 10000 D Common Stock Warrant (Right to Buy) 5.8345 2023-10-25 4 P 0 686000 A 2023-10-25 2026-10-25 Common Stock 686000 686000 D Common Stock Warrant (Right to Buy) 5.8345 2023-10-25 4 P 0 85750 A 2023-10-25 2026-10-25 Common Stock 85750 85750 I See Footnote Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant. Shares reflect a 1:10 reverse stock split of the Issuer's Common Stock effective September 1, 2023. These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III,L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Ronald Hunt, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may each be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation filed as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 27, 2023. The exercise price is also subject to adjustment pursuant to the Common Stock Warrant issued on October 25, 2023. New Leaf Ventures III, L.P., By: New Leaf Venture Associates III, L.P., its general partner, By: New Leaf Venture Management III, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer 2023-10-27 New Leaf Venture Associates III, L.P., By: New Leaf Venture Management III, L.L.C., its general partner, by /s/ Craig Slutzkin, Chief Financial Officer 2023-10-27 New Leaf Venture Management III, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer 2023-10-27 New Leaf Biopharma Opportunities II, L.P., By: New Leaf BPO Associates II, L.P., its general partner, By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer 2023-10-27 New Leaf BPO Associates II, L.P., By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer 2023-10-27 New Leaf BPO Management II, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer 2023-10-27 /s/ Vijay K. Lathi, Vijay K. Lathi 2023-10-27