SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Northpond Capital GP, LLC

(Last) (First) (Middle)
7500 OLD GEORGETOWN ROAD
SUITE 850

(Street)
BETHESDA MD 20814

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
IsoPlexis Corp [ ISO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
10/12/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/12/2021 C 6,304,192 A (1) 6,727,570(2) I See footnote(3)
Common Stock 10/12/2021 C 1,040,048 A (1) 1,080,961(4) I See footnote(5)
Common Stock 10/12/2021 P 1,000,000 A $15 2,080,961 I See footnote(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series C Redeemable Convertible Preferred Stock (1) 10/12/2021 C 287,785 (1) (1) Common Stock 2,302,280 $0.00 0 I See footnote(3)
Series C-2 Redeemable Convertible Preferred Stock (1) 10/12/2021 C 309,131 (1) (1) Common Stock 2,473,048 $0.00 0 I See footnote(3)
Series D Redeemable Convertible Preferred Stock (1) 10/12/2021 C 191,108 (1) (1) Common Stock 1,528,864 $0.00 0 I See footnote(3)
Series D Redeemable Convertible Preferred Stock (1) 10/12/2021 C 130,006 (1) (1) Common Stock 1,040,048 $0.00 0 I See footnote(5)
1. Name and Address of Reporting Person*
Northpond Capital GP, LLC

(Last) (First) (Middle)
7500 OLD GEORGETOWN ROAD
SUITE 850

(Street)
BETHESDA MD 20814

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Northpond Capital, L.P.

(Last) (First) (Middle)
7500 OLD GEORGETOWN ROAD
SUITE 850

(Street)
BETHESDA MD 20814

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Northpond Ventures GP, LLC

(Last) (First) (Middle)
7500 OLD GEORGETOWN ROAD
SUITE 850

(Street)
BETHESDA MD 20814

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Northpond Ventures, LP

(Last) (First) (Middle)
7500 OLD GEORGETOWN ROAD
SUITE 850

(Street)
BETHESDA MD 20814

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Rubin Michael P.

(Last) (First) (Middle)
C/O NORTHPOND VENTURES
7500 OLD GEORGETOWN ROAD, SUITE 850

(Street)
BETHESDA MD 20814

(City) (State) (Zip)
Explanation of Responses:
1. Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date.
2. Includes 423,378 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
3. The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP.
4. Includes 40,913 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
5. The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP.
Remarks:
Northpond Capital GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 10/14/2021
Northpond Capital, LP, By: Northpond Capital GP, LLC, its general partner, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 10/14/2021
Northpond Ventures GP, LLC, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 10/14/2021
Northpond Ventures, LP, By: Northpond Ventures GP, LLC, its general partner, By: /s/ Patrick Smerkers, Senior Vice President, Finance and Operations 10/14/2021
/s/ Michael P. Rubin 10/14/2021
** 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 4 (b)(v).
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