Person · CIK 1628048

Vivo Capital Surplus Fund VIII

No filings in the last two years

Earlier: Terns Pharmaceuticals, Impel Pharmaceuticals, Bolt Biotherapeutics, Aligos Therapeutics, Crinetics Pharmaceuticals, Kadmon Holdings and Menlo Therapeutics

Source: Forms 3, 4, 5 and 144 on SEC EDGAR

Sold on Form 4$22.8M

Noticed on Form 144$99K

Bought on Form 4$58.2M

Companies7

Holdings now

As reported after the latest Form 3, 4 or 5 at each company.

How these figures work

Options and RSUs are from the latest filing that lists them; earlier grants may also be held. Holdings can be out of date when a person stops filing.

Company	Security	Held	Shares or units	As of
Terns Pharmaceuticals	Common Stock	By Vivo Opportunity Fund Holdings, L.P.	4,023,741	Apr 3, 2024 · Filing · EDGAR
Terns Pharmaceuticals	Common Stock	By: Vivo Opportunity Fund Holdings, L.P.	2,981,592	Aug 16, 2022 · Filing · EDGAR
Terns Pharmaceuticals	Common Stock	Vivo Capital Fund VIII, L.P.	2,036,557	Feb 9, 2021 · Filing · EDGAR
Terns Pharmaceuticals	Common Stock	By: Vivo Capital Fund VIII, L.P.	1,945,015	Apr 3, 2024 · Filing · EDGAR
Terns Pharmaceuticals	Common Stock	Vivo Opportunity Fund, L.P.	357,353	Feb 9, 2021 · Filing · EDGAR
Terns Pharmaceuticals	Common Stock	Vivo Capital Surplus Fund VIII, L.P.	281,223	Feb 9, 2021 · Filing · EDGAR
Terns Pharmaceuticals	Common Stock	By: Vivo Capital Surplus Fund VIII, L.P.	268,573	Apr 3, 2024 · Filing · EDGAR
Terns Pharmaceuticals	Pre-funded Warrants (right to buy) exercise $0.00, into Common Stock	By: Vivo Opportunity Fund Holdings, L.P.	1,500,000	Aug 16, 2022 · Filing · EDGAR
Impel Pharmaceuticals	Common Stock	By: Vivo Capital Fund VIII, L.P.	2,029,495	Dec 19, 2023 · Filing · EDGAR
Impel Pharmaceuticals	Common Stock	See footnote	349,674	Apr 27, 2021 · Filing · EDGAR
Impel Pharmaceuticals	Common Stock	By: Vivo Capital Surplus Fund VIII, L.P.	280,294	Dec 19, 2023 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By Vivo Capital Fund VIII, L.P.	1,997,216	Feb 9, 2021 · Filing · EDGAR
Bolt Biotherapeutics	Comon Stock	By: Vivo Capital Fund VIII, L.P.	1,981,474	Nov 17, 2023 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	Vivo Capital Fund VIII, L.P.	1,954,009	Nov 20, 2023 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By: Vivo Capital Fund VIII, L.P.	1,952,302	Nov 21, 2023 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By Vivo PANDA Fund, L.P.	1,448,286	Feb 9, 2021 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By: Vivo Panda Fund, L.P.	1,448,286	Nov 21, 2023 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By Vivo Capital Surplus Fund VIII, L.P.	275,789	Feb 9, 2021 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By: Vivo Capital Surplus Fund VIII, L.P.	269,587	Nov 21, 2023 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By Vivo Opportunity Fund, L.P.	150,000	Feb 9, 2021 · Filing · EDGAR
Bolt Biotherapeutics	Common Stock	By: Vivo Opportunity Fund Holdings, L.P.	111,662	Nov 21, 2023 · Filing · EDGAR
Aligos Therapeutics	Common Stock	Vivo Capital Fund VIII, L.P.	3,116,658	Oct 20, 2020 · Filing · EDGAR
Aligos Therapeutics	Common Stock	Vivo Capital Surplus Fund VIII, L.P.	430,372	Oct 20, 2020 · Filing · EDGAR
Crinetics Pharmaceuticals	Common Stock	See footnotes	298,625	Apr 17, 2020 · Filing · EDGAR
Crinetics Pharmaceuticals	Common Stock	Footnotes	178,816	Feb 4, 2020 · Filing · EDGAR
Crinetics Pharmaceuticals	Common Stock	See foonotes	168,298	Feb 10, 2020 · Filing · EDGAR
Crinetics Pharmaceuticals	Common Stock	See Footnote	168,165	Mar 9, 2020 · Filing · EDGAR
Crinetics Pharmaceuticals	Common Stock	By Vivo Capital, LLC	54,711	Jul 17, 2018 · Filing · EDGAR
Kadmon Holdings	Common Stock	By Vivo Opportunity Fund, L.P.	8,970,242	Jan 7, 2019 · Filing · EDGAR
Kadmon Holdings	Common Stock	By Vivo Capital Fund VIII, L.P.	3,195,151	Jan 7, 2019 · Filing · EDGAR
Kadmon Holdings	Common Stock	By Vivo Capital Surplus Fund VIII, L.P.	441,212	Jan 7, 2019 · Filing · EDGAR
Menlo Therapeutics	Common Stock	By Vivo Capital Fund VIII, L.P.	3,524,541	Jan 29, 2018 · Filing · EDGAR
Menlo Therapeutics	Common Stock	By Vivo Capital Surplus Fund III, L.P.	486,695	Jan 29, 2018 · Filing · EDGAR

Sold and noticed by quarter

Sold (Form 4) Noticed (Form 144) Bought (Form 4)

Quarterly totals as a table

Quarter	Sold (Form 4)	Noticed (Form 144)	Bought (Form 4)
Q2 2024	$2.8M	$99K	—
Q4 2023	$157K	—	—
Q4 2022	—	—	$5.5M
Q3 2022	—	—	$9.1M
Q2 2021	—	—	$8.6M
Q1 2021	$5K	Not machine-readable	$15.1M
Q4 2020	—	—	$8.3M
Q2 2020	$9.3M	Not machine-readable	—
Q1 2020	$1.2M	Not machine-readable	—
Q1 2019	$9.3M	Not machine-readable	—
Q3 2018	—	—	$6.6M
Q1 2018	—	—	$5M

Form 144 notices went onto EDGAR as structured data on April 13, 2023. Earlier notices were filed on paper and cannot be read here, so those quarters show no noticed amount.

Planned sales (Form 144) and the sales that followed

Each Form 144 notice of a planned sale, grouped by broker and 10b5-1 plan, with the Form 4 sales we matched to it.

How we match

A Form 144 is a notice of a planned sale by an affiliate. SEC Tracker matches each notice to Form 4 sales by the same person at the same company within 90 days of the notice, up to the shares noticed. The match is our inference, not something either filing states.

Notice date	Noticed	Planned sale	Outcome	Links
Terns Pharmaceuticals · Cowen · 10b5-1 plan adopted Sep 29, 2023 · 2 notices
Apr 3, 2024	5,443 · ~$33K	Apr 3, 2024	Partly sold Sold 4,149 at $6.20 on Apr 3 · $26K likely match Form 4	Filing · EDGAR
Apr 1, 2024	8,832 · ~$67K	Apr 1, 2024	Partly sold Sold 8,501 in 2 sales, Apr 1 to Apr 2 · $58K likely match Form 4	Filing · EDGAR
Sales without a matching Form 144 · 61 sales No matching Form 144 found. Not every sale needs one: small sales and sales by people who are not affiliates are exempt.
—	—	—	Sold without notice Terns Pharmaceuticals: Sold 30,047 at $6.20 on Apr 3, 2024 · $186K (10b5-1 plan)	Filing · EDGAR
—	—	—	Sold without notice Terns Pharmaceuticals: Sold 103,870 at $6.20 on Apr 3, 2024 · $644K (10b5-1 plan)	Filing · EDGAR
—	—	—	Sold without notice Terns Pharmaceuticals: Sold 22,084 at $6.65 on Apr 2, 2024 · $147K (10b5-1 plan)	Filing · EDGAR
—	—	—	Sold without notice Terns Pharmaceuticals: Sold 76,346 at $6.65 on Apr 2, 2024 · $508K (10b5-1 plan)	Filing · EDGAR
—	—	—	Sold without notice Terns Pharmaceuticals: Sold 39,411 at $6.99 on Apr 1, 2024 · $275K (10b5-1 plan)	Filing · EDGAR
—	—	—	Sold without notice Terns Pharmaceuticals: Sold 136,255 at $6.99 on Apr 1, 2024 · $952K (10b5-1 plan)	Filing · EDGAR
—	—	—	Sold without notice Impel Pharmaceuticals: Sold 28,632 at $0.08 on Dec 19, 2023 · $2K	Filing · EDGAR
—	—	—	Sold without notice Impel Pharmaceuticals: Sold 208,657 at $0.08 on Dec 19, 2023 · $17K	Filing · EDGAR
—	—	—	Sold without notice Impel Pharmaceuticals: Sold 28,682 at $0.11 on Dec 18, 2023 · $3K	Filing · EDGAR
—	—	—	Sold without notice Impel Pharmaceuticals: Sold 209,029 at $0.11 on Dec 18, 2023 · $23K	Filing · EDGAR
—	—	—	Sold without notice Impel Pharmaceuticals: Sold 12,066 at $0.29 on Dec 15, 2023 · $3K	Filing · EDGAR
—	—	—	Sold without notice Impel Pharmaceuticals: Sold 87,934 at $0.29 on Dec 15, 2023 · $26K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 1,457 at $0.90 on Nov 21, 2023 · $1K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 236 at $0.90 on Nov 21, 2023 · $212	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 1,707 at $0.90 on Nov 21, 2023 · $2K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 23,443 at $0.92 on Nov 20, 2023 · $22K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 3,792 at $0.92 on Nov 20, 2023 · $3K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 27,465 at $0.92 on Nov 20, 2023 · $25K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 7,009 at $0.93 on Nov 17, 2023 · $7K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 1,134 at $0.93 on Nov 17, 2023 · $1K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 8,211 at $0.93 on Nov 17, 2023 · $8K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 6,429 at $0.96 on Nov 16, 2023 · $6K	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 1,040 at $0.96 on Nov 16, 2023 · $998	Filing · EDGAR
—	—	—	Sold without notice Bolt Biotherapeutics: Sold 7,531 at $0.96 on Nov 16, 2023 · $7K	Filing · EDGAR
—	—	—	Notice not machine-readable Bolt Biotherapeutics: Sold 20 at $20.00 on Feb 9, 2021 · $400	Filing · EDGAR
—	—	—	Notice not machine-readable Bolt Biotherapeutics: Sold 144 at $20.00 on Feb 9, 2021 · $3K	Filing · EDGAR
—	—	—	Notice not machine-readable Bolt Biotherapeutics: Sold 62 at $20.00 on Feb 9, 2021 · $1K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 10,265 at $15.40 on Apr 17, 2020 · $158K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 74,333 at $15.40 on Apr 17, 2020 · $1.1M	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 3,663 at $15.20 on Apr 16, 2020 · $56K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 26,527 at $15.20 on Apr 16, 2020 · $403K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 26,185 at $15.50 on Apr 15, 2020 · $406K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 189,625 at $15.50 on Apr 15, 2020 · $2.9M	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 742 at $14.20 on Apr 7, 2020 · $11K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 5,373 at $14.20 on Apr 7, 2020 · $76K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 36,400 at $13.80 on Apr 3, 2020 · $502K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 263,600 at $13.80 on Apr 3, 2020 · $3.6M	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 133 at $19.50 on Mar 9, 2020 · $3K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 48 at $19.50 on Mar 9, 2020 · $936	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 347 at $19.50 on Mar 9, 2020 · $7K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 5,904 at $21.40 on Feb 10, 2020 · $126K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 200 at $21.40 on Feb 10, 2020 · $4K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 1,451 at $21.40 on Feb 10, 2020 · $31K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 4,614 at $22.00 on Feb 7, 2020 · $102K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 157 at $22.00 on Feb 7, 2020 · $3K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 1,134 at $22.00 on Feb 7, 2020 · $25K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 10,519 at $22.80 on Feb 4, 2020 · $240K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 357 at $22.80 on Feb 4, 2020 · $8K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 2,584 at $22.80 on Feb 4, 2020 · $59K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 4,220 at $21.70 on Jan 31, 2020 · $92K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 143 at $21.70 on Jan 31, 2020 · $3K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 1,037 at $21.70 on Jan 31, 2020 · $23K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 5,940 at $22.10 on Jan 30, 2020 · $131K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 201 at $22.10 on Jan 30, 2020 · $4K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 1,459 at $22.10 on Jan 30, 2020 · $32K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 10,878 at $22.20 on Jan 29, 2020 · $241K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 369 at $22.20 on Jan 29, 2020 · $8K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 2,673 at $22.20 on Jan 29, 2020 · $59K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 83,984 at $22.25 on Mar 20, 2019 · $1.9M	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 40,407 at $22.25 on Mar 20, 2019 · $899K	Filing · EDGAR
—	—	—	Notice not machine-readable Crinetics Pharmaceuticals: Sold 292,609 at $22.25 on Mar 20, 2019 · $6.5M	Filing · EDGAR

Every transaction, by company

Each Form 3, 4 and 5 transaction in plain words, newest first.

How these figures work

Values are shares times the price each filing states; grants, exercises and gifts usually state no price. Held after is what the filing reports was held once the transaction was done, directly or through the named holder.

Terns Pharmaceuticals 10% owner · filings 2021 to 2024 · sold $2.8M · bought $22.7M · $99K noticed on Form 144

Date	Transaction	Shares	Price	Value	Held after	Source
Apr 3, 2024	Sale under a 10b5-1 plan	−103,870	$6.20	$644K	4,023,741 By Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Apr 3, 2024	Sale under a 10b5-1 plan	−30,047	$6.20	$186K	1,945,015 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Apr 3, 2024	Sale under a 10b5-1 plan	−4,149	$6.20	$26K	268,573 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Apr 2, 2024	Sale under a 10b5-1 plan	−76,346	$6.65	$508K	4,127,611 By Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Apr 2, 2024	Sale under a 10b5-1 plan	−22,084	$6.65	$147K	1,975,062 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Apr 2, 2024	Sale under a 10b5-1 plan	−3,050	$6.65	$20K	272,722 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Apr 1, 2024	Sale under a 10b5-1 plan	−136,255	$6.99	$952K	4,203,957 By Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Apr 1, 2024	Sale under a 10b5-1 plan	−39,411	$6.99	$275K	1,997,146 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Apr 1, 2024	Sale under a 10b5-1 plan	−5,451	$6.99	$38K	275,772 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Dec 23, 2022	Open-market or private purchase	+758,620	$7.25	$5.5M	4,340,212 By Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Sep 7, 2022	Open-market or private purchase	+600,000	$3.60	$2.2M	3,581,592 By Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Aug 16, 2022	Open-market or private purchase	+1,500,000	$2.42	$3.6M	2,981,592 By: Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Aug 16, 2022	Open-market or private purchase Pre-funded Warrants (right to buy)	+1,500,000	$2.42	$3.6M	1,500,000 By: Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Aug 15, 2022	Open-market or private purchase	+1,218	$2.99	$4K	1,481,592 By: Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Aug 12, 2022	Open-market or private purchase	+1,123,021	$2.98	$3.3M	1,480,374 By Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+1,933,185			1,933,185 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+266,948			266,948 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private purchase	+103,372	$17.00	$1.8M	2,036,557 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private purchase	+14,275	$17.00	$243K	281,223 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private purchase	+357,353	$17.00	$6.1M	357,353 Vivo Opportunity Fund, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series B Preferred Stock	−713,203			0 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series B Preferred Stock	−98,484			0 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series C Preferred Stock	−364,138			0 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series C Preferred Stock	−50,282			0 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR

Impel Pharmaceuticals 10% owner · filings 2021 to 2023 · sold $74K · bought $8.6M

Date	Transaction	Shares	Price	Value	Held after	Source
Dec 19, 2023	Open-market or private sale	−208,657	$0.08	$17K	2,029,495 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Dec 19, 2023	Open-market or private sale	−28,632	$0.08	$2K	280,294 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Dec 18, 2023	Open-market or private sale	−209,029	$0.11	$23K	2,238,152 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Dec 18, 2023	Open-market or private sale	−28,682	$0.11	$3K	308,926 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Dec 15, 2023	Open-market or private sale	−87,934	$0.29	$26K	2,447,181 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Dec 15, 2023	Open-market or private sale	−12,066	$0.29	$3K	337,608 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Apr 27, 2021	Derivative converted	+710,190			710,190 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+98,068			98,068 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+474,713			1,184,903 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+65,552			163,620 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+440,119			1,625,022 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+60,813			224,433 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+315,328			1,940,350 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+43,550			267,983 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+89,145	$13.50	$1.2M	2,029,495 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted	+12,311	$13.50	$166K	280,294 See footnote	Filing · EDGAR
Apr 27, 2021	Open-market or private purchase	+505,620	$15.00	$7.6M	2,535,115 See footnote	Filing · EDGAR
Apr 27, 2021	Open-market or private purchase	+69,380	$15.00	$1M	349,674 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series C-1 Redeemable Convertible Preferred Stock	−11,628,174			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series C-1 Redeemable Convertible Preferred Stock	−1,605,711			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series C-2 Redeemable Convertible Preferred Stock	−7,772,634			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series C-2 Redeemable Convertible Preferred Stock	−1,073,308			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series C-3 Redeemable Convertible Preferred Stock	−7,206,216			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series C-3 Redeemable Convertible Preferred Stock	−995,714			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series D Redeemable Convertible Preferred Stock	−5,162,969			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted Series D Redeemable Convertible Preferred Stock	−713,064			0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted 5% Convertible Note due 2021				0 See footnote	Filing · EDGAR
Apr 27, 2021	Derivative converted 5% Convertible Note due 2021				0 See footnote	Filing · EDGAR
Apr 22, 2021	Other acquisition or disposition (see the filing) 5% Convertible Note due 2021				89,145 See footnote	Filing · EDGAR
Apr 22, 2021	Other acquisition or disposition (see the filing) 5% Convertible Note due 2021				12,311 See footnote	Filing · EDGAR

Bolt Biotherapeutics 10% owner · filings 2021 to 2023 · sold $88K · bought $7M

Date	Transaction	Shares	Price	Value	Held after	Source
Nov 21, 2023	Open-market or private sale	−1,707	$0.90	$2K	1,952,302 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Nov 21, 2023	Open-market or private sale	−236	$0.90	$212	269,587 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Nov 21, 2023	Open-market or private sale	−1,457	$0.90	$1K	111,662 By: Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Nov 20, 2023	Open-market or private sale	−27,465	$0.92	$25K	1,954,009 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Nov 20, 2023	Open-market or private sale	−3,792	$0.92	$3K	269,823 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Nov 20, 2023	Open-market or private sale	−23,443	$0.92	$22K	113,119 By: Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Nov 17, 2023	Open-market or private sale	−8,211	$0.93	$8K	1,981,474 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Nov 17, 2023	Open-market or private sale	−1,134	$0.93	$1K	273,615 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Nov 17, 2023	Open-market or private sale	−7,009	$0.93	$7K	136,562 By: Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Nov 16, 2023	Open-market or private sale	−7,531	$0.96	$7K	1,989,685 By: Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Nov 16, 2023	Open-market or private sale	−1,040	$0.96	$998	274,749 By: Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Nov 16, 2023	Open-market or private sale	−6,429	$0.96	$6K	143,571 By: Vivo Opportunity Fund Holdings, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+944,056			958,341 By Vivo PANDA Fund, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+472,296			1,430,637 By Vivo PANDA Fund, L.P.	Filing · EDGAR
Feb 9, 2021	In-the-money option exercised	+17,711	$0.07	$1K	1,448,348 By Vivo PANDA Fund, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private sale	−62	$20.00	$1K	1,448,286 By Vivo PANDA Fund, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+1,092,080			1,117,184 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+317,922			1,435,106 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+345,568			1,780,674 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	In-the-money option exercised	+40,953	$0.07	$3K	1,821,627 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private sale	−144	$20.00	$3K	1,821,483 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private purchase	+175,733	$20.00	$3.5M	1,997,216 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+150,802			154,268 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+43,901			198,169 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted	+47,718			245,887 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	In-the-money option exercised	+5,655	$0.07	$396	251,542 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private sale	−20	$20.00	$400	251,522 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private purchase	+24,267	$20.00	$485K	275,789 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Open-market or private purchase	+150,000	$20.00	$3M	150,000 By Vivo Opportunity Fund, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series A-1 Preferred Stock	−944,056			0 By Vivo PANDA Fund, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series B Preferred Stock	−472,296			0 By Vivo PANDA Fund, L.P.	Filing · EDGAR
Feb 9, 2021	In-the-money option exercised Warrant (Right to Buy)	−17,711			0 By Vivo PANDA Fund, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series B Preferred Stock	−1,092,080			0 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series C-1 Preferred Stock	−317,922			0 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series C-2 Preferred Stock	−345,568			0 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	In-the-money option exercised Warrant (Right to Buy)	−40,953			0 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series B Preferred Stock	−150,802			0 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series C-1 Preferred Stock	−43,901			0 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	Derivative converted Series C-2 Preferred Stock	−47,718			0 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Feb 9, 2021	In-the-money option exercised Warrant (Right to Buy)	−5,655			0 By Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR

Aligos Therapeutics 10% owner · filings 2020 to 2020 · bought $8.3M

Date	Transaction	Shares	Price	Value	Held after	Source
Oct 20, 2020	Derivative converted	+1,885,611			1,885,611 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted	+523,726			2,409,337 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted	+224,054			2,633,391 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted	+260,380			260,380 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted	+72,320			332,700 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted	+30,939			363,639 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Open-market or private purchase	+483,267	$15.00	$7.2M	3,116,658 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Open-market or private purchase	+66,733	$15.00	$1M	430,372 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted Series A Preferred Stock	−1,885,611			0 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted Series A Preferred Stock	−260,380			0 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted Series B-1 Preferred Stock	−523,726			0 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted Series B-1 Preferred Stock	−72,320			0 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted Series B-2 Preferred Stock	−224,054			0 Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Oct 20, 2020	Derivative converted Series B-2 Preferred Stock	−30,939			0 Vivo Capital Surplus Fund VIII, L.P.	Filing · EDGAR

Crinetics Pharmaceuticals 10% owner · filings 2018 to 2020 · sold $19.8M · bought $6.6M

Date	Transaction	Shares	Price	Value	Held after	Source
Apr 17, 2020	Open-market or private sale	−74,333	$15.40	$1.1M	2,162,587 See footnotes	Filing · EDGAR
Apr 17, 2020	Open-market or private sale	−10,265	$15.40	$158K	298,625 See footnotes	Filing · EDGAR
Apr 16, 2020	Open-market or private sale	−26,527	$15.20	$403K	2,236,920 See footnotes	Filing · EDGAR
Apr 16, 2020	Open-market or private sale	−3,663	$15.20	$56K	308,890 See footnotes	Filing · EDGAR
Apr 15, 2020	Open-market or private sale	−189,625	$15.50	$2.9M	2,263,447 See footnotes	Filing · EDGAR
Apr 15, 2020	Open-market or private sale	−26,185	$15.50	$406K	312,553 See footnotes	Filing · EDGAR
Apr 7, 2020	Open-market or private sale	−5,373	$14.20	$76K	2,453,072 See footnotes	Filing · EDGAR
Apr 7, 2020	Open-market or private sale	−742	$14.20	$11K	338,738 See footnotes	Filing · EDGAR
Apr 3, 2020	Open-market or private sale	−263,600	$13.80	$3.6M	2,458,445 See footnotes	Filing · EDGAR
Apr 3, 2020	Open-market or private sale	−36,400	$13.80	$502K	339,480 See footnotes	Filing · EDGAR
Mar 9, 2020	Open-market or private sale	−347	$19.50	$7K	2,722,045 See Footnote	Filing · EDGAR
Mar 9, 2020	Open-market or private sale	−48	$19.50	$936	375,880 See Footnote	Filing · EDGAR
Mar 9, 2020	Open-market or private sale	−133	$19.50	$3K	168,165 See Footnote	Filing · EDGAR
Feb 10, 2020	Open-market or private sale	−1,451	$21.40	$31K	2,722,392 See foonotes	Filing · EDGAR
Feb 10, 2020	Open-market or private sale	−200	$21.40	$4K	375,928 See foonotes	Filing · EDGAR
Feb 10, 2020	Open-market or private sale	−5,904	$21.40	$126K	168,298 See foonotes	Filing · EDGAR
Feb 7, 2020	Open-market or private sale	−1,134	$22.00	$25K	2,723,843 See foonotes	Filing · EDGAR
Feb 7, 2020	Open-market or private sale	−157	$22.00	$3K	376,128 See foonotes	Filing · EDGAR
Feb 7, 2020	Open-market or private sale	−4,614	$22.00	$102K	174,202 See foonotes	Filing · EDGAR
Feb 4, 2020	Open-market or private sale	−2,584	$22.80	$59K	2,724,977 Footnotes	Filing · EDGAR
Feb 4, 2020	Open-market or private sale	−357	$22.80	$8K	376,285 Footnotes	Filing · EDGAR
Feb 4, 2020	Open-market or private sale	−10,519	$22.80	$240K	178,816 Footnotes	Filing · EDGAR
Jan 31, 2020	Open-market or private sale	−1,037	$21.70	$23K	2,727,561 See foonotes	Filing · EDGAR
Jan 31, 2020	Open-market or private sale	−143	$21.70	$3K	376,642 See foonotes	Filing · EDGAR
Jan 31, 2020	Open-market or private sale	−4,220	$21.70	$92K	189,335 See foonotes	Filing · EDGAR
Jan 30, 2020	Open-market or private sale	−1,459	$22.10	$32K	2,728,598 See foonotes	Filing · EDGAR
Jan 30, 2020	Open-market or private sale	−201	$22.10	$4K	376,785 See foonotes	Filing · EDGAR
Jan 30, 2020	Open-market or private sale	−5,940	$22.10	$131K	193,555 See foonotes	Filing · EDGAR
Jan 29, 2020	Open-market or private sale	−2,673	$22.20	$59K	2,730,057 See foonotes	Filing · EDGAR
Jan 29, 2020	Open-market or private sale	−369	$22.20	$8K	376,986 See foonotes	Filing · EDGAR
Jan 29, 2020	Open-market or private sale	−10,878	$22.20	$241K	199,495 See foonotes	Filing · EDGAR
Mar 20, 2019	Open-market or private sale	−292,609	$22.25	$6.5M	2,732,730 See Footnote	Filing · EDGAR
Mar 20, 2019	Open-market or private sale	−40,407	$22.25	$899K	377,355 See Footnote	Filing · EDGAR
Mar 20, 2019	Open-market or private sale	−83,984	$22.25	$1.9M	210,373 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted	+2,560,613			2,560,613 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted	+353,590			353,590 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted	+413,040			2,973,653 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted	+57,035			410,625 See Footnote	Filing · EDGAR
Jul 20, 2018	Open-market or private purchase	+51,686	$17.00	$879K	3,025,339 See Footnote	Filing · EDGAR
Jul 20, 2018	Open-market or private purchase	+7,137	$17.00	$121K	417,762 See Footnote	Filing · EDGAR
Jul 20, 2018	Open-market or private purchase	+141,177	$17.00	$2.4M	141,177 See Footnote	Filing · EDGAR
Jul 20, 2018	Open-market or private purchase	+153,180	$20.73	$3.2M	294,357 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted Series A Preferred Stock	−8,424,416			0 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted Series A Preferred Stock	−1,163,311			0 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted Series B Preferred Stock	−1,358,903			0 See Footnote	Filing · EDGAR
Jul 20, 2018	Derivative converted Series B Preferred Stock	−187,648			0 See Footnote	Filing · EDGAR

Kadmon Holdings 10% owner · filings 2019 to 2019

No transactions in the filings read; Form 144 notices are listed above.

Menlo Therapeutics 10% owner · filings 2018 to 2018 · bought $5M

Date	Transaction	Shares	Price	Value	Held after	Source
Jan 29, 2018	Derivative converted	+2,348,550			2,606,982 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Jan 29, 2018	Derivative converted	+324,306			359,992 By Vivo Capital Surplus Fund III, L.P.	Filing · EDGAR
Jan 29, 2018	Derivative converted	+917,559			3,524,541 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Jan 29, 2018	Derivative converted	+126,703			486,695 By Vivo Capital Surplus Fund III, L.P.	Filing · EDGAR
Jan 29, 2018	Derivative converted Series B Preferred Stock	−6,335,215			0 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Jan 29, 2018	Derivative converted Series B Preferred Stock	−874,817			0 By Vivo Capital Surplus Fund III, L.P.	Filing · EDGAR
Jan 29, 2018	Derivative converted Series C Preferred Stock	−2,475,118			0 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Jan 29, 2018	Derivative converted Series C Preferred Stock	−341,784			0 By Vivo Capital Surplus Fund III, L.P.	Filing · EDGAR
Jan 25, 2018	Open-market or private purchase	+258,432	$17.00	$4.4M	258,432 By Vivo Capital Fund VIII, L.P.	Filing · EDGAR
Jan 25, 2018	Open-market or private purchase	+35,686	$17.00	$607K	35,686 By Vivo Capital Surplus Fund III, L.P.	Filing · EDGAR

All 30 Forms 3, 4, 5 and 144

Filed	Form	Company	Links
Apr 3, 2024	Form 4	Terns Pharmaceuticals	Filing · EDGAR
Apr 3, 2024	Form 144	Terns Pharmaceuticals	Filing · EDGAR
Apr 1, 2024	Form 144	Terns Pharmaceuticals	Filing · EDGAR
Dec 19, 2023	Form 4	Impel Pharmaceuticals	Filing · EDGAR
Nov 22, 2023	Form 4	Bolt Biotherapeutics	Filing · EDGAR
Nov 20, 2023	Form 4	Bolt Biotherapeutics	Filing · EDGAR
Dec 23, 2022	Form 4	Terns Pharmaceuticals	Filing · EDGAR
Sep 8, 2022	Form 4	Terns Pharmaceuticals	Filing · EDGAR
Aug 16, 2022	Form 4	Terns Pharmaceuticals	Filing · EDGAR
Apr 29, 2021	Form 4	Impel Pharmaceuticals	Filing · EDGAR
Apr 26, 2021	Form 4	Impel Pharmaceuticals	Filing · EDGAR
Apr 22, 2021	Form 3	Impel Pharmaceuticals	Filing · EDGAR
Feb 9, 2021	Form 4	Terns Pharmaceuticals	Filing · EDGAR
Feb 9, 2021	Form 4	Bolt Biotherapeutics	Filing · EDGAR
Feb 4, 2021	Form 3	Terns Pharmaceuticals	Filing · EDGAR
Feb 4, 2021	Form 3	Bolt Biotherapeutics	Filing · EDGAR
Oct 20, 2020	Form 4	Aligos Therapeutics	Filing · EDGAR
Oct 15, 2020	Form 3	Aligos Therapeutics	Filing · EDGAR
Apr 17, 2020	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Apr 7, 2020	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Mar 11, 2020	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Feb 11, 2020	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Feb 6, 2020	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Jan 31, 2020	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Mar 25, 2019	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Jan 8, 2019	Form 3	Kadmon Holdings	Filing · EDGAR
Jul 20, 2018	Form 4	Crinetics Pharmaceuticals	Filing · EDGAR
Jul 17, 2018	Form 3	Crinetics Pharmaceuticals	Filing · EDGAR
Jan 29, 2018	Form 4	Menlo Therapeutics	Filing · EDGAR
Jan 24, 2018	Form 3	Menlo Therapeutics	Filing · EDGAR

Every figure is as filed with the SEC on Forms 3, 4, 5 and 144. Holdings are the amounts reported after each person's latest filing at each company and can be out of date. Matching a Form 144 notice to Form 4 sales is SEC Tracker's inference from owner, company, dates and share counts, not something the filings state. Not investment advice. Not affiliated with the U.S. SEC.

Data on this page was fetched Nov 6, 2026, 10:55 AM ET. The filing on SEC.gov is the record.