SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
The following table presents information as to the beneficial ownership of our common stock as of
March 28, 2022April 3, 2024 for:
each person, or group of affiliated persons, known by us to beneficially own more than 5% of our outstanding shares of our common stock;
each of our named executives;NEOs; and
all directors and executive officers as a group.
The number of shares beneficially owned by each entity, person, director or executive officer is determined in accordance with the rules of the SEC, and the information is not necessarily indicative of beneficial ownership for any other purpose. Under such rules, beneficial ownership includes any shares over which the individual has sole or shared voting power or investment power as well as any shares that the individual has the right to acquire within 60 days after
March 28, 2022April 3, 2024 through the exercise of any stock option, warrants or other rights. Except as otherwise indicated, and subject to applicable community property laws, the persons named in the table have sole voting and investment power with respect to all shares of our common stock held by that person.
The percentage of shares beneficially owned is computed on the basis of
32,251,92451,157,472 shares of our common stock outstanding as of
March 28, 2022.April 3, 2024. Shares of our common stock that a person has the right to acquire within 60 days after
March 28, 2022April 3, 2024 are deemed outstanding for purposes of computing the percentage ownership of the person holding such rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person, except with respect to the percentage ownership of all directors and executive officers as a group. Unless otherwise indicated below, the address for each beneficial owner listed is c/o 4D Molecular Therapeutics, Inc., 5858 Horton Street #455, Emeryville, California 94608.
| | | | | | | | | | | | | | | | |
Name of Beneficial Owner | | Number of Outstanding Shares Beneficially Owned | | | Number of Shares Exercisable Within 60 Days | | | Number of Shares Beneficially Owned | | | Percentage of Shares Beneficially Owned | |
5% and Greater Stockholders: | | | | | | | | | | | | | | | | |
Viking Global Opportunities Illiquid Investments Sub-Master LP(1) | | | 3,937,914 | | | | — | | | | 3,937,914 | | | | 12.21 | % |
BlackRock, Inc.(2) | | | 2,087,682 | | | | — | | | | 2,087,682 | | | | 6.47 | % |
Deep Track Capital, LP(3) | | | 1,900,000 | | | | — | | | | 1,900,000 | | | | 5.89 | % |
Janus Henderson Group plc(4) | | | 1,647,923 | | | | — | | | | 1,647,923 | | | | 5.11 | % |
Executive Officers and Directors: | | | | | | | | | | | | | | | | |
David Kirn, M.D. | | | 2,000,000 | | | | 53,125 | | | | 2,053,125 | | | | 6.36 | % |
John F. Milligan, Ph.D.(5) | | | 100,000 | | | | 157,919 | | | | 257,919 | | | | * | |
Jacob Chacko, M.D., MBA | | | — | | | | 67,500 | | | | 67,500 | | | | * | |
Susannah Gray, MBA | | | — | | | | 35,000 | | | | 35,000 | | | | * | |
Nancy Miller-Rich | | | — | | | | 30,000 | | | | 30,000 | | | | * | |
Charles Theuer, M.D., Ph.D. | | | 32,351 | | | | 107,868 | | | | 140,219 | | | | * | |
Shawn Cline Tomasello, MBA | | | — | | | | 30,000 | | | | 30,000 | | | | * | |
Theresa Janke | | | 350,030 | | | | 64,478 | | | | 414,508 | | | | 1.28 | % |
August Moretti | | | 2,552 | | | | 212,028 | | | | 214,580 | | | | * | |
All executive officers and directors as a group (13 persons) | | | 2,489,832 | | | | 1,139,543 | | | | 3,629,375 | | | | 11.22 | % |
5% and Greater Stockholders:
| | | | | | | | | | | | |
Venrock Healthcare Capital Partners III, L.P.(1) | | | 4,400,000 | | | — | | | 4,400,000 | | | 8.6% |
Viking Global Opportunities Illiquid Investments Sub-Master LP(2) | | | 4,247,914 | | | — | | | 4,247,914 | | | 8.3% |
RA Capital Management, L.P.(3) | | | 4,163,211 | | | — | | | 4,163,211 | | | 8.1% |
Biotechnology Value Fund, L.P.(4) | | | 4,007,413 | | | — | | | 4,007,413 | | | 7.8% |
BlackRock, Inc.(5) | | | 3,464,587 | | | — | | | 3,464,587 | | | 6.8% |
Janus Henderson Group plc(6) | | | 3,093,296 | | | — | | | 3,093,296 | | | 6.0% |
Executive Officers and Directors:
| | | | | | | | | | | | |
David Kirn, M.D.(7) | | | 1,659,513 | | | 337,083 | | | 1,996,236 | | | 3.9% |
John F. Milligan, Ph.D.(8) | | | 100,000 | | | 381,790 | | | 481,790 | | | * |
Jacob Chacko, M.D., MBA | | | — | | | 100,000 | | | 100,000 | | | * |
Susannah Gray, MBA | | | — | | | 90,000 | | | 90,000 | | | * |
Nancy Miller-Rich | | | — | | | 90,000 | | | 90,000 | | | * |
Charles Theuer, M.D., Ph.D. | | | 32,351 | | | 113,017 | | | 145,368 | | | * |
Shawn Cline Tomasello, MBA | | | — | | | 90,000 | | | 90,000 | | | * |
Fariborz Kamal, Ph.D. | | | 5,942 | | | 458,170 | | | 464,112 | | | * |
Robert Kim, M.D. | | | 1,043 | | | 216,415 | | | 217,458 | | | * |
All executive officers and directors as a group (11 persons) | | | 1,805,279 | | | 1,963,397 | | | 3,768,676 | | | 7.3% |
*
| Indicates beneficial ownership of less than 1% of the total outstanding common stock. |
(1)
| Consists of (i) 1,103,763 shares held by Venrock Healthcare Capital Partners III, L.P., (ii) 110,418 shares held by VHCP Co-Investment Holdings III, LLC and (iii) 3,185,819 shares held by Venrock Healthcare Capital Partners EG, L.P., as reported on a Schedule 13G filed with the SEC on February 14, 2024. VHCP Management III, LLC is the general partner of Venrock Healthcare Capital Partners III, |