SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/23/2020 | 3. Issuer Name and Ticker or Trading Symbol Oric Pharmaceuticals, Inc. [ ORIC ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 75,000 | I | See footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock | (2) | (2) | Common Stock | 3,500,000 | (2) | I | See footnote(1) |
Series B Preferred Stock | (2) | (2) | Common Stock | 625,000 | (2) | I | See footnote(1) |
Series C Preferred Stock | (2) | (2) | Common Stock | 416,666 | (2) | I | See footnote(1) |
Series D Preferred Stock | (2) | (2) | Common Stock | 151,515 | (2) | I | See footnote(1) |
Explanation of Responses: |
1. The shares are held of record by The Column Group II, LP ("TCG II LP"). The Column Group II GP, LP ("TCG II GP") is the general partner of TCG II LP. The Reporting Person is a Managing Partner of TCG II GP and may be deemed to share voting and investment power with respect to the shares reported herein. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any. |
2. The number of shares of Common Stock reflects a one-for-four reverse stock split of the Issuer's Common Stock and Preferred Stock which became effective April 21, 2020. Each of the Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock shall automatically convert into shares of Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock for no additional consideration and has no expiration date. |
Remarks: |
/s/ Dominic Piscitelli, attorney-in-fact | 04/23/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |