| Accession Number: | 0001209191-19-053345 |
| Date: | 2019-10-14 |
| Issuer: | NGM BIOPHARMACEUTICALS INC (NGM) |
| Original Submission Date: |
COLUMN GROUP L P
1700 OWENS STREET
SUITE 500
SAN FRANCISCO, CA 94158
COLUMN GROUP III, LP
1700 OWENS STREET
SUITE 500
SAN FRANCISCO, CA 94158
COLUMN GROUP III-A, LP
1700 OWENS STREET
SUITE 500
SAN FRANCISCO, CA 94158
COLUMN GROUP III GP, LP
1700 OWENS STREET
SUITE 500
SAN FRANCISCO, CA 94158
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2019-10-14 | P | 34,900 | a | $10.36 | 88,072 f3 | direct | ||
| COMMON STOCK | 2019-10-15 | P | 33,200 | a | $10.31 | 121,272 f3 | direct | ||
| COMMON STOCK | 2019-10-16 | P | 34,900 | a | $10.26 | 156,172 f3 | direct | ||
| COMMON STOCK | 2019-10-14 | 0 | $0.00 | 16,166,907 f11 | direct | ||||
| COMMON STOCK | 2019-10-14 | 0 | $0.00 | 15,000 f12 | direct |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|
| ID | footnote |
|---|---|
| f1 | consists of 16,390 shares of common stock held directly by the column group iii, lp ("tcg iii lp") and 18,510 shares of common stock held directly by the column group iii-a, lp ("tcg iii-a lp"). |
| f2 | the securities are directly held by tcg iii, and indirectly held by the column group iii gp, lp ("tcg iii gp"), the general partner of tcg iii. the managing partners of tcg iii gp are david goeddel, peter svennilson and tim kutzkey. the managing partners of tcg iii gp may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f3 | the securities are directly held by tcg iii-a lp, and indirectly held by tcg iii gp, the general partner of tcg iii-a lp. the managing partners of tcg iii gp are david goeddel, peter svennilson and tim kutzkey. the managing partners of tcg iii gp may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f4 | consists of 15,592 shares of common stock held directly by the column group iii, lp ("tcg iii lp") and 17,608 shares of common stock held directly by the column group iii-a, lp ("tcg iii-a lp"). |
| f5 | consists of 11,103,333 shares of common stock held directly by the column group, lp ("tcg lp"), 2,265,758 shares of common stock held directly by the column group ii, lp ("tcg ii lp"), 100,000 shares of common stock held directly by the column group gp, lp ("tcg gp"),100,000 shares of common stock held directly by the column group management, lp ("tcgm lp"), 1,298,908 shares of common stock held directly by ponoi capital, lp ("ponoi lp"), and 1,298,908 shares of common stock held directly by ponoi capital ii, lp ("ponoi ii lp"). |
| f6 | the securities are directly held by tcg lp, and indirectly held by tcg gp, the general partner of tcg lp. the managing partners of tcg gp are david goeddel and peter svennilson. the managing partners of tcg gp may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f7 | the securities are directly held by tcg ii lp, and indirectly held by the column group ii gp, lp ("tcg ii gp"), the general partner of tcg ii lp. the managing partners of tcg ii gp are david goeddel and peter svennilson. the managing partners of tcg ii gp may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f8 | the securities are directly held by tcg gp. the managing partners of tcg gp are david goeddel and peter svennilson. the managing partners of tcg gp may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f9 | the securities are directly held by tcgm lp. the managing partners of tcgm lp are david goeddel and peter svennilson. the managing partners of tcgm lp may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f10 | the securities are directly held by ponoi lp, and indirectly held by ponoi management, llc ("ponoi llc"), the general partner of ponoi lp. the managing partners of ponoi llc are david goeddel, peter svennilson and tim kutzkey. the managing partners of ponoi llc may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f11 | the securities are directly held by ponoi ii lp, and indirectly held by ponoi ii management, llc ("ponoi ii llc"), the general partner of ponoi ii lp. the managing partners of ponoi ii llc are david goeddel, peter svennilson and tim kutzkey. the managing partners of ponoi ii llc may be deemed to have voting and investment power with respect to such shares. each individual managing partner disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
| f12 | these securities are owned solely by tim kutzkey. |
