Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-031545
Date:2020-05-19
Issuer: APREA THERAPEUTICS, INC. (APRE)
Original Submission Date:

Reporting Person:

5AM VENTURES IV, L.P.
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Reporting Person:

5AM CO-INVESTORS IV, L.P.
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Reporting Person:

5AM PARTNERS IV, LLC
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Reporting Person:

DIEKMAN JOHN D
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Reporting Person:

SCHWAB ANDREW J.
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Reporting Person:

5AM OPPORTUNITIES I, L.P.
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Reporting Person:

5AM OPPORTUNITIES I (GP), LLC
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Reporting Person:

PARMAR KUSH
501 2ND STREET, SUITE 350
SAN FRANCISCO, CA 94107

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-05-19 S 244,800 d $35.15 2,173,748 f2 indirect f1,f2
COMMON STOCK 2020-05-19 S 10,200 d $35.15 90,572 f3 indirect f2,f3
COMMON STOCK 2020-05-19 0 $0.00 333,333 f5 indirect f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
f1 shares are held directly by 5am ventures iv, l.p.
f2 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, mr. schwab and dr. rocklage disclaims beneficial ownership of the shares of common stock and preferred stock held directly by the 5am iv funds, except to the extent of its or his pecuniary interest therein.
f3 shares are held directly by 5am co-investors iv, l.p.
f4 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.
f5 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.
WhaleWisdom Logo

Elevate your investments