Form 4 for TRDA Entrada Therapeutics, Inc.
Accepted 2021-11-04 00:00:00 ET · period of report 2021-11-02 · accession 0001104659-21-134647 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-11-04 | 2021-11-02 | TRDA | ROCHE HOLDING LTD | 10% | C - Cnv Deriv | — | +2.81M | 2.81M | New | — |
| DMI | 2021-11-04 | 2021-11-02 | TRDA | ROCHE HOLDING LTD | 10% | C - Cnv Deriv | $0.00 | -2.81M | 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 | 2021-11-02 | C | A | 2,495,385 | — | 2,495,385 | I See Footnote | — | — | (F1) Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. (F2) Represents shares held by Roche Finance Ltd ("Roche Finance"). Roche Finance is a wholly owned subsidiary of Roche Holding Ltd ("Roche Holding"), a Swiss corporation whose shares are traded on the SIX Swiss Exchange. Roche Holding is the indirect beneficial owner of these securities of the Issuer. This Form 4 shall not be deemed an admission that any reporting person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4. |
| 2 | Common | Common Stock | 2021-11-02 | C | A | 318,140 | — | 2,813,525 | I See Footnote | — | — | (F1) Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. (F2) Represents shares held by Roche Finance Ltd ("Roche Finance"). Roche Finance is a wholly owned subsidiary of Roche Holding Ltd ("Roche Holding"), a Swiss corporation whose shares are traded on the SIX Swiss Exchange. Roche Holding is the indirect beneficial owner of these securities of the Issuer. This Form 4 shall not be deemed an admission that any reporting person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4. |
| 3 | Derivative | Series B Preferred Stock | 2021-11-02 | C | D | 318,140 | $0.00 | 0 | I See Footnote | — · — to — | 318,140 Common Stock | (F1) Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. (F2) Represents shares held by Roche Finance Ltd ("Roche Finance"). Roche Finance is a wholly owned subsidiary of Roche Holding Ltd ("Roche Holding"), a Swiss corporation whose shares are traded on the SIX Swiss Exchange. Roche Holding is the indirect beneficial owner of these securities of the Issuer. This Form 4 shall not be deemed an admission that any reporting person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4. |
| 4 | Derivative | Series A Preferred Stock | 2021-11-02 | C | D | 2,495,385 | $0.00 | 0 | I See Footnote | — · — to — | 2,495,385 Common Stock | (F1) Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. (F2) Represents shares held by Roche Finance Ltd ("Roche Finance"). Roche Finance is a wholly owned subsidiary of Roche Holding Ltd ("Roche Holding"), a Swiss corporation whose shares are traded on the SIX Swiss Exchange. Roche Holding is the indirect beneficial owner of these securities of the Issuer. This Form 4 shall not be deemed an admission that any reporting person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4. |