Form 4 for DOCS Doximity, Inc.
Accepted 2021-11-04 00:00:00 ET · period of report 2021-11-02 · accession 0001104659-21-134152 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-11-04 | 2021-11-02 | DOCS | Threshold Ventures I General Partner, LLC | 10% | C - Cnv Deriv | — | +518.6K | 518.6K | New | — |
| D | 2021-11-04 | 2021-11-02 | DOCS | Threshold Ventures I General Partner, LLC | 10% | C - Cnv Deriv | — | +4.67M | 4.67M | New | — |
| D | 2021-11-04 | 2021-11-02 | DOCS | Threshold Ventures I General Partner, LLC | 10% | C - Cnv Deriv | $0.00 | -4.67M | 0 | -100% | $0 |
| DI | 2021-11-04 | 2021-11-02 | DOCS | Threshold Ventures I General Partner, LLC | 10% | C - Cnv Deriv | $0.00 | -518.6K | 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 | Class A Common Stock | 2021-11-02 | C | A | 518,586 | — | 518,586 | I | — | — | (F1) Each share of Class B Common Stock, par value $0.001 per share (the "Class B Common Stock"), converted into one share of Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"), at the option of the holder. (F3) These shares are directly held by Threshold Ventures I Partners Fund, LLC ("Threshold I Partners"). Josh Stein and Andreas Stavropoulos, the voting members of Threshold I Partners, may be deemed to have shared voting, investment and dispositive power over the shares held by Threshold I Partners. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
| 2 | Common | Class A Common Stock | 2021-11-02 | C | A | 4,667,276 | — | 4,667,276 | D By Threshold Ventures I Partners Fund, LLC | — | — | (F1) Each share of Class B Common Stock, par value $0.001 per share (the "Class B Common Stock"), converted into one share of Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"), at the option of the holder. (F2) These shares are directly held by Threshold Ventures I, L.P. ("Threshold I"). Threshold Ventures I General Partner, LLC ("Threshold I GP") is the general partner of Threshold I and may be deemed to have sole voting, investment and dispositive power over the shares held by Threshold I. Threshold I GP may be deemed to have sole voting, investment and dispositive power over the shares held by Threshold I GP. Josh Stein and Andreas Stavropoulos, the managing members of Threshold I GP, may be deemed to have shared voting, investment and dispositive power over such shares. Such individuals and entities disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. (F3) These shares are directly held by Threshold Ventures I Partners Fund, LLC ("Threshold I Partners"). Josh Stein and Andreas Stavropoulos, the voting members of Threshold I Partners, may be deemed to have shared voting, investment and dispositive power over the shares held by Threshold I Partners. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
| 3 | Derivative | Class B Common Stock | 2021-11-02 | C | D | 4,667,276 | $0.00 | 0 | D By Threshold Ventures I Partners Fund, LLC | — · — to — | 4,667,276 Class A Common Stock | (F2) These shares are directly held by Threshold Ventures I, L.P. ("Threshold I"). Threshold Ventures I General Partner, LLC ("Threshold I GP") is the general partner of Threshold I and may be deemed to have sole voting, investment and dispositive power over the shares held by Threshold I. Threshold I GP may be deemed to have sole voting, investment and dispositive power over the shares held by Threshold I GP. Josh Stein and Andreas Stavropoulos, the managing members of Threshold I GP, may be deemed to have shared voting, investment and dispositive power over such shares. Such individuals and entities disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. (F3) These shares are directly held by Threshold Ventures I Partners Fund, LLC ("Threshold I Partners"). Josh Stein and Andreas Stavropoulos, the voting members of Threshold I Partners, may be deemed to have shared voting, investment and dispositive power over the shares held by Threshold I Partners. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. (F4) Each share of Class B Common Stock is convertible into one share of Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"), at any time at the option of the holder. Each share of Class B Common Stock held by each Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock, except for certain permitted transfers described in the Issuer's amended and restated certificate of incorporation; (2) the death or incapacity of such Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the tenth anniversary of the effectiveness of the registration statement in connection with the IPO; or (b) the date specified by a vote of the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class. |
| 4 | Derivative | Class B Common Stock | 2021-11-02 | C | D | 518,586 | $0.00 | 0 | I | — · — to — | 518,586 Class A Common Stock | (F3) These shares are directly held by Threshold Ventures I Partners Fund, LLC ("Threshold I Partners"). Josh Stein and Andreas Stavropoulos, the voting members of Threshold I Partners, may be deemed to have shared voting, investment and dispositive power over the shares held by Threshold I Partners. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. (F4) Each share of Class B Common Stock is convertible into one share of Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"), at any time at the option of the holder. Each share of Class B Common Stock held by each Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock, except for certain permitted transfers described in the Issuer's amended and restated certificate of incorporation; (2) the death or incapacity of such Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the tenth anniversary of the effectiveness of the registration statement in connection with the IPO; or (b) the date specified by a vote of the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class. |