NEW LEAF BIOPHARMA OPPORTUNITIES II, L.P. enters HARPOON THERAPEUTICS, INC. with 3.17M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Indirect Derivatives
Filed: 3/27/2023ACC: 0000899243-23-009744
→
10% Owner
Since Feb 2019
3.17M
Baseline shares
29% direct
923.86K
Direct ownership
2 positions
2.99M
Derivative underlying
1 instrument
3
Security positions
2.24M indirect
Non-Derivative Holdings3
8.000% Series A Redeemable Preferred Stock
DirectShares owned10K
Common Stock
IndirectShares owned2.24M
Common Stock
DirectShares owned913.86K
Total
923.86K direct·2.24M indirect3.17M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| 8.000% Series A Redeemable Preferred Stock | 10K | Direct |
| Common Stock | 2.24M | Indirect |
| Common Stock | 913.86K | Direct |
| Total | 3.17M | 923.86K direct·2.24M indirect |
Derivative Holdings1
Common Stock Warrant (Right to Buy)
DirectUnderlying security
Common Stock
Underlying shares
2.99M
Shares owned
N/A
Exercise price
0.9789
Expiration
—
Exercise window
—
Total
Underlying
2.99M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Common Stock Warrant (Right to Buy) Direct | Common Stock | 0.9789 | — | — | 2.99M | N/A |
| Total | 2.99M | 0.00 | ||||