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, 2021 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, 2021 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
29,206,40549,197,828 shares of our common stock outstanding as of April
22, 2019.21, 2021. 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 Avidity Partners Management LP(1) | | | 2,122,064 | | | 3,102,765 | | | 5,224,829 | | | 9.99%* |
Entities affiliated with Redmile Group, LLC(2) | | | 2,774,794 | | | 2,377,590 | | | 5,152,384 | | | 9.99%* |
Entities affiliated with EcoR1 Capital, LLC(3) | | | 2,851,287 | | | 2,292,607 | | | 5,143,894 | | | 9.99%* |
Entities affiliated with Versant Ventures(4) | | | 4,450,638 | | | — | | | 4,450,638 | | | 9.05% |
Morgan Stanley & Co. LLC(5) | | | 3,099,428 | | | — | | | 3,099,428 | | | 6.30% |
Clarus Life Sciences III, L.P.(6) | | | 2,567,445 | | | — | | | 2,567,445 | | | 5.22% |
Named Executive Officers and Directors:
| | | | | | | | | | | | |
Andrew Allen, M.D., Ph.D.(7) | | | 1,449,275 | | | 299,997 | | | 1,749,272 | | | 3.53% |
Roman Yelensky, Ph.D.(8) | | | 183,948 | | | 129,808 | | | 313,756 | | | ** |
Erin Jones(9) | | | 20,000 | | | 158,911 | | | 178,911 | | | ** |
Richard Heyman, Ph.D.(10) | | | 53,323 | | | 21,070 | | | 74,393 | | | ** |
Elaine Jones, Ph.D. | | | — | | | 21,800 | | | 21,800 | | | ** |
Steve Krognes | | | — | | | 32,364 | | | 32,364 | | | ** |
Judith Li | | | — | | | 21,070 | | | 21,070 | | | ** |
Nicholas Simon(11) | | | 2,567,445 | | | 21,070 | | | 2,588,515 | | | 5.26% |
Thomas Woiwode, Ph.D.(12) | | | 4,450,638 | | | 21,070 | | | 4,471,708 | | | 9.09% |
All executive officers and directors as a group (14 persons)(13) | | | 9,189,736 | | | 1,250,853 | | | 10,440,589 | | | 20.70% |
*
| Beneficial ownership includes pre-funded warrants to purchase common stock; pursuant to the terms of those 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 common stock after exercise, the holder would beneficially own in excess of 9.99%. |
**
| Indicates beneficial ownership of less than 1% of the outstanding shares of common stock. |