Ronald Hunt - Oct 25, 2023 Form 4 Insider Report for Harpoon Therapeutics, Inc. (HARP)

Role
Director, 10%+ Owner
Signature
/s/ Frank J. Lanza, Attorney-in-Fact
Stock symbol
HARP
Transactions as of
Oct 25, 2023
Transactions value $
$0
Form type
4
Date filed
10/27/2023, 04:03 PM
Previous filing
Oct 2, 2023
Next filing
Nov 28, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HARP Common Stock Purchase +1.37M +1501.32% 1.46M Oct 25, 2023 See Footnote F1, F2, F3
transaction HARP Common Stock Purchase +172K +76.47% 396K Oct 25, 2023 See Footnote F1, F4, F5
holding HARP 8.000% Series A Redeemable Preferred Stock 10K Oct 25, 2023 See Footnote F2, F3, F6
holding HARP Common Stock 6.73K Oct 25, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HARP Common Stock Warrant (Right to Buy) Purchase +686K 686K Oct 25, 2023 Common Stock 686K $5.83 See Footnotes F1, F2, F3, F7
transaction HARP Common Stock Warrant (Right to Buy) Purchase +85.8K 85.8K Oct 25, 2023 Common Stock 85.8K $5.83 See Footnote F1, F4, F5, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant.
F2 These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F3 The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F4 These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F5 The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F6 The terms of the Series A Preferred Stock are set forth in the Certificate of Designation filed as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 27, 2023.
F7 The exercise price is also subject to adjustment pursuant to the Common Stock Purchase Warrant issued on October 25, 2023.