Form 4 for UPB Upstream Bio, Inc.
Accepted 2024-10-15 00:00:00 ET · period of report 2024-10-15 · accession 0000950170-24-114802 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-10-15 | 2024-10-15 | UPB | Wellington Biomedical Innovation Master Investors (Cayman) II L.P. | 10% | C - Cnv Deriv | — | +894.7K | 894.7K | New | — |
| D | 2024-10-15 | 2024-10-15 | UPB | Wellington Biomedical Innovation Master Investors (Cayman) II L.P. | 10% | C - Cnv Deriv | $0.00 | -852.9K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-10-15 | C | A | 894,733 | — | 894,733 | D | — | — | (F1) Each share of Series B redeemable convertible preferred stock automatically converted into Common Stock on a 1.049-for-one basis upon closing of the Issuer's initial public offering without payment of consideration. The Series B redeemable convertible preferred stock had no expiration date. |
| 2 | Derivative | Series B redeemable convertible preferred stock | 2024-10-15 | C | D | 852,940 | $0.00 | 0 | D | — · — to — | 894,733 Common Stock | (F1) Each share of Series B redeemable convertible preferred stock automatically converted into Common Stock on a 1.049-for-one basis upon closing of the Issuer's initial public offering without payment of consideration. The Series B redeemable convertible preferred stock had no expiration date. |