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, 201921, 2020 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 rules of the SEC and generally includes voting or investment power with respect to 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, 201921, 2020 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
29,206,40537,076,367 shares of our common stock outstanding as of April
22, 2019.21, 2020. This table is based upon information supplied by officers, directors and principal stockholders and Schedules 13D and Schedules 13G, if any, filed with the SEC, as well as information provided 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, 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 Versant Ventures(1) | | | 3,102,929 | | | — | | | 3,102,929 | | | 8.4% |
The Column Group II, LP(2) | | | 3,102,934 | | | — | | | 3,102,934 | | | 8.4% |
Clarus Lifesciences III, L.P.(3) | | | 2,567,445 | | | — | | | 2,567,445 | | | 6.9% |
FMR LLC(4) | | | 5,318,623 | | | — | | | 5,318,623 | | | 14.3% |
Entities affiliated with Frazier Healthcare(5) | | | 2,061,758 | | | — | | | 2,061,762 | | | 5.6% |
Trinitas Capital G, L.P.(6) | | | 1,924,711 | | | — | | | 1,924,711 | | | 5.2% |
Entities affiliated with Redmile Group, LLC(7) | | | 2,916,594 | | | — | | | 2,916,594 | | | 7.9% |
Casdin Capital, LLC(8) | | | 2,590,000 | | | — | | | 2,590,000 | | | 7.0% |
Named Executive Officers and Directors:
| | | | | | | | | | | | |
Andrew Allen, M.D., Ph.D.(9) | | | 1,449,275 | | | 132,615 | | | 1,581,890 | | | 4.3% |
Karin Jooss(10) | | | 321,883 | | | 48,934 | | | 370,817 | | | 1.0%* |
Raphaël Rousseau, M.D., Ph.D. | | | — | | | 170,424 | | | 170,424 | | | * |
Richard Heyman, Ph.D.(11) | | | 53,323 | | | 8,570 | | | 61,893 | | | * |
Elaine Jones, Ph.D. | | | — | | | 3,986 | | | 3,986 | | | * |
Steve Krognes | | | — | | | 15,880 | | | 15,880 | | | * |
Judith Li | | | — | | | 8.570 | | | 8,570 | | | * |
Nicholas Simon(12) | | | 2,567,445 | | | 8,570 | | | 2,576,015 | | | 6.9% |
Thomas Woiwode, Ph.D.(13) | | | 3,102,929 | | | 8,570 | | | 3,111,499 | | | 8.4% |
All executive officers and directors as a group ([15] persons)(14) | | | 7,791,303 | | | 790,247 | | | 8,581,550 | | | 22.7% |
*
| Indicates beneficial ownership of less than 1% of the outstanding shares of common stock. |
(1)
| Based solely on a Schedule 13G filed with the SEC on February 14, 2019 (the “Versant 13G”) with respect toConsists of (i) 2,723,031 shares of common stock beneficially owned on December 31, 2018held 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(ii) 207,234 shares of common stock held by 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. Based solely on the Versant 13G, shares of common stock beneficially owned by the Versant Reporting Persons consists of (i) 2,723,031 shares of common stock held by VVC V, (ii) 207,234 shares of common stock held by VVC CAN, (iii) 90,756 shares of common stock held by VOA, and (iv) 81,908 shares of common stock held by VAF V. The address for each of the Versant Reporting Persons is One Sansome Street, Suite 3630, San Francisco, CA 94104. Ophthalmic |