SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
The following table presents information as to the beneficial ownership of our common stock as of
April 22, 2019March 31, 2022 for:
each person, or group of affiliated persons, known by us to beneficially own more than 5% of our outstanding shares of common stock;
each of our NEOs;
named executive officers;each of our directors; and
all executive officers and directors as a group.
Beneficial ownership is determined in accordance with the
SEC rules
of the SEC and generally includes voting or investment power with respect to
our securities. Unless otherwise indicated below, to our knowledge, the persons and entities named in the table have sole voting and sole investment power with respect to all shares beneficially owned, subject to community property laws where applicable. Shares of our common stock subject to options that are currently exercisable or exercisable within 60 days of
April 22, 2019March 31, 2022 are deemed to be outstanding and to be beneficially owned by the person holding the options for the purpose of computing the percentage ownership of that person but are not treated as outstanding for the purpose of computing the percentage ownership of any other person.
The percentage of shares beneficially owned is computed on the basis of 29,206,40572,779,508 shares of our common stock outstanding as of April 22, 2019. ThisMarch 31, 2022. The table below is based upon information supplied to us by our executive officers, directors and principal stockholders and Schedules 13D and Schedules 13G, if any, filed with the SEC, as well as information provided to us by The Nasdaq Stock Market, LLC.
Unless otherwise indicated, the address of each of the individuals and entities named below is c/o Gritstone
Oncology,bio, Inc.,
58585959 Horton Street, Suite
210,300, Emeryville, CA 94608.
| | | | | | | | | | | | | | | | |
| | Shares of Common Stock Beneficially Owned | |
Name of Beneficial Owner | | Common Stock | | | Securities Exercisable Within 60 Days | | | Number of Shares Beneficially Owned | | | Percent | |
5% Stockholders: | | | | | | | | | | | | | | | | |
Entities affiliated with Versant Ventures(1) | | | 3,102,929 | | | | — | | | | 3,102,929 | | | | 10.6 | % |
The Column Group II, LP(2) | | | 3,102,934 | | | | — | | | | 3,102,934 | | | | 10.6 | % |
Clarus Lifesciences III, L.P.(3) | | | 2,567,445 | | | | — | | | | 2,567,445 | | | | 8.8 | % |
FMR LLC(4) | | | 3,136,236 | | | | — | | | | 3,136,236 | | | | 10.7 | % |
Entities affiliated with Frazier Healthcare(5) | | | 2,061,762 | | | | — | | | | 2,061,762 | | | | 8.6 | % |
Trinitas Capital G, L.P.(6) | | | 1,924,711 | | | | — | | | | 1,924,711 | | | | 7.1 | % |
Entities affiliated with Redmile Group, LLC(7) | | | 2,514,136 | | | | — | | | | 2,514,136 | | | | 6.6 | % |
Named Executive Officers and Directors: | | | | | | | | | | | | | | | | |
Andrew Allen, M.D., Ph.D.(8) | | | 1,449,275 | | | | 34,921 | | | | 1,484,196 | | | | 5.1 | % |
Jean-Marc Bellemin | | | — | | | | 71,683 | | | | 71,683 | | | | | * |
Jayant Aphale(9) | | | — | | | | 20,150 | | | | 20,150 | | | | | * |
Roman Yelensky(10) | | | 143,224 | | | | 44,735 | | | | 187,959 | | | | | * |
Richard Heyman, Ph.D.(11) | | | 53,323 | | | | — | | | | 53,323 | | | | | * |
Steve Krognes | | | — | | | | 3,326 | | | | 3,326 | | | | | * |
Judith Li | | | — | | | | — | | | | — | | | | | * |
Nicholas Simon(12) | | | 2,567,445 | | | | — | | | | 2,567,445 | | | | 8.8 | % |
Peter Svennilson(13) | | | 3,102,934 | | | | — | | | | 3,102,934 | | | | 10.6 | % |
Thomas Woiwode, Ph.D.(14) | | | 3,102,929 | | | | — | | | | 3,102,929 | | | | 10.6 | % |
All executive officers and directors as a group (13 persons)(15) | | | 10,894,237 | | | | 327,512 | | | | 11,221,749 | | | | 38.0 | % |
>5% Stockholders:
| | | | | | | | | | | | |
Entities affiliated with Redmile Group, LLC(1) | | | 3,291,738 | | | 4,420,590 | | | 7,712,328 | | | 9.99%* |
Entities affiliated with Avidity Partners Management LP(2) | | | 4,415,000 | | | 2,859,971 | | | 7,274,971 | | | 9.62%* |
Named Executive Officers and Directors:
| | | | | | | | | | | | |
Andrew Allen, M.D., Ph.D.(3) | | | 1,463,596 | | | 531,858 | | | 1,995,454 | | | 2.72% |
Karin Jooss, Ph.D.(4) | | | 330,116 | | | 198,509 | | | 528,625 | | | ** |
Erin Jones(5) | | | 27,643 | | | 237,469 | | | 265,112 | | | ** |
Richard Heyman, Ph.D.(6) | | | 53,323 | | | 21,070 | | | 74,393 | | | ** |
Elaine Jones, Ph.D.(7) | | | — | | | 26,671 | | | 26,671 | | | ** |
Steve Krognes(8) | | | — | | | 36,016 | | | 36,016 | | | ** |
Clare Fisher(9) | | | — | | | 4,222 | | | 4,222 | | | ** |
Shefali Agarwal, M.D., M.P.H.(10) | | | — | | | 11,611 | | | 11,611 | | | ** |
Naiyer Rizvi, M.D.(11) | | | — | | | 31,375 | | | 31,375 | | | ** |
All executive officers and directors as a group (14 persons)(12) | | | 2,049,309 | | | 1,262,903 | | | 3,312,212 | | | 4.47% |
*
| Beneficial ownership includes certain pre-funded warrants to purchase our common stock (the “Warrants”). Pursuant to the terms of such Warrants, a holder does not have the right to exercise any portion of the Warrant to the extent that, after giving effect to the issuance of our common stock after exercise, such holder would beneficially own more than 9.99% of the number of shares of our common stock outstanding immediately after giving effect to the issuance of shares of our common stock following the exercise of such Warrant. |
**
| Indicates beneficial ownership of less than 1% of the outstanding shares of our common stock. |
(1)
| Based solely on ainformation set forth in Schedule 13G13G/A filed with the SEC by Redmile Group, LLC on February 14, 2019 (the “Versant 13G”)2022 with respect to shares of common stock beneficially owned by Redmile Group, LLC on December 31, 20182021, as updated by the following persons and entities: Versant Venture Capital V, L.P. (“VVC V”), Versant Affiliates Fund V, L.P. (“VAF V”), Versant Ophthalmic Affiliates Fund I, L.P. (“VOA”) and Versant Venture Capital V (Canada) LP (“VVC CAN”). Versant Ventures V, LLC (“VV V”) is the sole general partner of VVC V, VAF V and VOA. Samuel D. Colella (“Colella”), William J. Link (“Link”), Bradley Bolzon, Ph.D (“Bolzon”), Kirk G. Nielsen (“Nielsen”), Thomas Woiwode (“Woiwode”) and Robin L. Praeger (“Praeger”) are managing directors of VV V. Versant Ventures VGP-GP (Canada), Inc. (“VV V CAN GP”) is the sole general partner of Versant Ventures V (Canada), L.P. (“VV V CAN”, and, together with VVC V, VV V, VAF V, VOA, VVC CAN, and VV V CAN GP, the “Versant Reporting Persons”). VV V CAN is the sole general partner of VVC CAN. Colella, Link, Bolzon, Praeger, Nielsen and Woiwode are directors of VV V CAN GP. VV V is the sole general partner of VVC V, VAF V and VOA and may be deemed to have voting and investment power over the securities held by VVC V, VAF V and VOA. Colella, Link, Bolzon, Praeger, Nielsen and Woiwode are managing directors of VV V and share voting and dispositive power over the shares held by VVC V, VAF V and VOA and disclaim beneficial ownership of all shares above except to the extent of their pecuniary interest therein. information |