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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Harpoon Therapeutics, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File No. 001-38800 Harpoon Therapeutics, Inc. (Exact name of registrant as specified in |
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| March 18, 2024 |
HARP / Harpoon Therapeutics, Inc. / GLAZER CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Harpoon Therapeutics, Inc. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 41358P205 (CUSIP Number) March 8, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| March 13, 2024 |
HARP / Harpoon Therapeutics, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 harp00.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P205 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, A |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION HARPOON THERAPEUTICS, INC. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HARPOON THERAPEUTICS, INC. FIRST: The name of the corporation is Harpoon Therapeutics, Inc. (hereinafter, the “Corporation”). SECOND: The address of the Corporation’s registered office in the State of Delaware is Corporation Trust Center, 1209 Orange Street, Wilmington, New Castle County, Delaware 19801, and the name of its registere |
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| March 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2024 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
Pandion Therapeutics Inc / MERCK SHARP & DOHME LLC - SC 13D/A Activist Investment SC 13D/A 1 d794405dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Harpoon Therapeutics, Inc. (Name of Subject Company — Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P106 (CUSIP Number of Class of Securities) Kelly E.W. Grez Corporate Secre |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
AMENDED AND RESTATED HARPOON THERAPEUTICS, INC. ARTICLE I Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF HARPOON THERAPEUTICS, INC. ARTICLE I STOCKHOLDERS Section 1. Annual Meeting. An annual meeting of the stockholders, for the election of directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held at such place, on such date, and at such time as the Board of Directors ( |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 11, 2024 |
As filed with the Securities and Exchange Commission on March 11, 2024 As filed with the Securities and Exchange Commission on March 11, 2024 Registration No. |
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| March 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2024 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissio |
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| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2024 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| February 27, 2024 |
HARP / Harpoon Therapeutics, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D 1 harp00.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P205 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2024 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| February 21, 2024 |
HARP / Harpoon Therapeutics, Inc. / Arix Bioscience plc - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P106 (CUSIP Number) Robert Lyne Chief Executive Officer Arix Bioscience plc Duke Street House 50 Duke Street London W1J 6EQ |
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| February 14, 2024 |
US41358P2056 / Harpoon Therapeutics Inc / CITADEL ADVISORS LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. 1)* Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (the “Shares”) (Title of Class of Securities) 41358P2 |
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| February 14, 2024 |
US41358P2056 / Harpoon Therapeutics Inc / RA CAPITAL MANAGEMENT, L.P. - SC 13G/A Passive Investment SC 13G/A 1 tm246065d24sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* HARPOON THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P205 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this State |
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| February 14, 2024 |
EX-99.1 2 tm246065d24ex1.htm EXHIBIT 1 EXHIBIT 1 AGREEMENT This Joint Filing Agreement, dated as of February 14, 2024, is by and among RA Capital Management, L.P., Peter Kolchinsky, Rajeev Shah, and RA Capital Healthcare Fund, L.P. (the foregoing are collectively referred to herein as the “Filers”). Each of the Filers may be required to file with the United States Securities and Exchange Commissio |
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| February 13, 2024 |
US41358P2056 / Harpoon Therapeutics Inc / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SC 13G 1 tv01077-harpoontherapeuticsi.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Harpoon Therapeutics Inc Title of Class of Securities: Common Stock CUSIP Number: 41358P205 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pur |
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| February 13, 2024 |
HARP / Harpoon Therapeutics, Inc. / New Leaf Ventures III, L.P. - SC 13G/A Passive Investment SC 13G/A 1 d767272dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 5) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP |
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| February 12, 2024 |
US41358P2056 / Harpoon Therapeutics Inc / MPM BioVentures 2014, L.P. - SC 13D/A Activist Investment SC 13D/A 1 d777936dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 41358P 20 5 (CUSIP Number) Ansbert Gadicke MPM Asset Management 399 Boylston Street, Suite 1100 Boston, MA 02116 Telephone: (61 |
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| February 12, 2024 |
EX-99.C 2 d777936dex99c.htm EX-99.C Exhibit C Joint Filing Statement I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the beneficial ownership by the undersigned of the equity securities of Harpoon Therapeutics, Inc. is filed on behalf of each of the undersigned. Date: February 12, 2024 MPM BIOVENTURES 2014, L.P. By: MPM BioVen |
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| February 9, 2024 |
HARP / Harpoon Therapeutics, Inc. / Artal International S.C.A. - SC 13G/A Passive Investment SC 13G/A 1 d771216dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. 1) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) |
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| February 8, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| February 6, 2024 |
SC 13G/A 1 ea192956-13ga1soleus3har.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* HARPOON THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P106 (CUSIP Number) December 31, 2023 (Date of Event Which R |
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| January 29, 2024 |
Exhibit 3.1 HARPOON THERAPEUTICS, INC. AMENDMENT TO CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF 8.000% SERIES A REDEEMABLE PREFERRED STOCK HARPOON THERAPEUTICS, INC. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: The name of the Corporation is Harpoon Therape |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 26, 2024 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 29, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| January 29, 2024 |
EX-FILING FEES Exhibit 107 CALCULATION OF FILING FEE TABLES Schedule 14A (Form Type) Harpoon Therapeutics, Inc. |
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| January 26, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2024 Harpoon Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38800 47-3458693 (State or other Jurisdiction of Incorporation) (Commis |
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| January 26, 2024 |
Interim Results from a Phase 1/2 Study of HPN328, a Tri-Specific, Half-Life (T1/2) Extended DLL3-targeting T-Cell Engager in Patients (pts) with Neuroendocrine Prostate Cancer (NEPC) and other Neuroendocrine Neoplasms (NEN) Himisha Beltran1, Afshin Dowlati2, Prantesh Jain3, Melissa Lynne Johnson4, Rachel E. |
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| January 19, 2024 |
US41358P2056 / Harpoon Therapeutics Inc / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 1) HARPOON THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 41358P205 (CUSIP Number) DECEMBER 31, 2023 (Date of event which requires filing of this statement) Check the appropriate box to designate |
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| January 18, 2024 |
AMENDMENT No. 2 TO MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT EX-99.4 Exhibit 99.4 AMENDMENT No. 2 TO MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT This Amendment No. 2 to Mutual Confidential Disclosure Agreement (“Amendment No. 2”), effective as of the date of last signature below (“Amendment No. 2 Effective Date”), confirms the mutual understanding between Merck Sharp & Dohme, LLC, having a place of business at 126 East Lincoln Avenue, Rahway, New Jersey 07065, |
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| January 18, 2024 |
AMENDMENT NO. 3 TO MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT EX-99.5 Exhibit 99.5 Confidential AMENDMENT NO. 3 TO MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT This Amendment No. 3 to Mutual Confidential Disclosure Agreement (this “Amendment No. 3”), effective as of the date of last signature below (the “Amendment No. 3 Effective Date”), confirms the mutual understanding between Merck Sharp & Dohme LLC, having a place of business at 126 East Lincoln Avenue, Rahw |
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| January 18, 2024 |
MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT EX-99.2 Exhibit 99.2 MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT This Mutual Confidential Disclosure Agreement (this “Agreement”), effective as of the date of last signature below (the “Effective Date”), is entered into by and between Merck Sharp & Dohme Corp., having an address of 2000 Galloping Hill Road, Kenilworth, New Jersey 07033 (hereinafter referred to as “Merck”) and Harpoon Therapeutics, ha |
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| January 18, 2024 |
EX-99.6 Exhibit 99.6 Joint Filing Agreement In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, par value $0.0001 per share, of Harpoon Therapeutics, Inc., a Delaware corporation, and furth |
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| January 18, 2024 |
FIRST AMENDMENT TO MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT EX-99.3 Exhibit 99.3 FIRST AMENDMENT TO MUTUAL CONFIDENTIAL DISCLOSURE AGREEMENT This First Amendment to the Mutual Confidential Disclosure Agreement (this “First Amendment”) is entered into as of the date of last signature below (the “First Amendment Effective Date”), by and between Merck Sharp & Dohme Corp., (“Merck”) and Harpoon Therapeutics (“Harpoon”) and amends that certain Mutual Confidenti |
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| January 18, 2024 |
HARP / Harpoon Therapeutics, Inc. / MERCK SHARP & DOHME LLC - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 Harpoon Therapeutics, Inc. (Name of Subject Company — Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P106 (CUSIP Number of Class of Securities) Kelly E.W. Grez Corporate Secretary Merck & Co., Inc. 126 East Lincoln Avenue, Rahw |
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| January 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule14a-6( |
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| January 8, 2024 |
Exhibit 99.2 News Release Merck to Acquire Harpoon Therapeutics, Further Diversifying Oncology Pipeline Acquisition includes HPN328, an investigational delta-like ligand 3 (DLL3) targeting T-cell engager being evaluated in certain patients with small cell lung cancer and neuroendocrine tumors RAHWAY, N.J., and SOUTH SAN FRANCISCO, Calif., Jan. 8, 2024—Merck (NYSE: MRK), known as MSD outside of the |
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| January 8, 2024 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER DATED AS OF JANUARY 7, 2024 AMONG MERCK SHARP & DOHME LLC, HAWAII MERGER SUB, INC. AND HARPOON THERAPEUTICS, INC. Table of Contents Page ARTICLE 1 DEFINITIONS; INTERPRETATION 2 SECTION 1.1. Definitions 2 SECTION 1.2. Interpretation 13 ARTICLE 2 THE MERGER 14 SECTION 2.1. The Merger 14 SECTION 2.2. Effects of the Merger 15 SECTION 2.3. Clos |
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| January 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| January 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule14a-6( |
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| January 8, 2024 |
Exhibit 99.1 CONFIDENTIAL EXECUTION VERSION SUPPORT AGREEMENT This SUPPORT AGREEMENT (this “Agreement”), dated January 7, 2024, is by and among [•] (“Stockholder”), Merck Sharpe & Dohme LLC, a New Jersey limited liability company (“Parent”), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent (“Merger Sub”). WHEREAS, concurrently with the execution and deliv |
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| January 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 7, 2024 Harpoon Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38800 47-3458693 (State or other Jurisdiction of Incorporation) (Commiss |
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| January 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 7, 2024 Harpoon Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38800 47-3458693 (State or other Jurisdiction of Incorporation) (Commiss |
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| January 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| January 5, 2024 |
As filed with the Securities and Exchange Commission on January 5, 2024 S-8 As filed with the Securities and Exchange Commission on January 5, 2024 Registration No. |
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| January 5, 2024 |
EX-99.3 Exhibit 99.3 AMENDMENT NO. 1 TO HARPOON THERAPEUTICS, INC. 2022 INDUCEMENT PLAN ADOPTED BY THE BOARD OF DIRECTORS: JUNE 27, 2022 AMENDED BY THE BOARD OF DIRECTORS: DECEMBER 14, 2023 1. GENERAL. (a) Eligible Award Recipients. The only persons eligible to receive grants of Awards under this Plan are individuals who satisfy the standards for inducement grants under NASDAQ Marketplace Rule 563 |
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| January 5, 2024 |
EX-FILING FEES Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 Harpoon Therapeutics, Inc. |
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| December 22, 2023 |
25,751,025 shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-275958 PROSPECTUS 25,751,025 shares of Common Stock This prospectus covers the offer and resale by the selling stockholders identified in this prospectus of up to an aggregate of 25,751,025 shares of our common stock, which consists of (i) 12,805,350 shares of our common stock held by the selling stockholders, (ii) 4,362,000 s |
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| December 15, 2023 |
December 15, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Alan Campbell Re: Harpoon Therapeutics, Inc. Registration Statement on Form S-3 File No. 333-275958 Acceleration Request Requested Date: December 19, 2023 Requested Time: 4:00 PM Eastern Time Ladies and Gentlemen: In accordance with Rule 461 under the |
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| December 8, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Harpoon Therapeutics, Inc. |
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| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 8, 2023 Table of Contents As filed with the Securities and Exchange Commission on December 8, 2023 Registration No. |
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| November 28, 2023 |
November 26, 2023 RETENTION BONUS AGREEMENT Exhibit 10.1 November 26, 2023 RETENTION BONUS AGREEMENT Dear []: In recognition of your past and future contributions to the success of Harpoon Therapeutics, Inc. (the “Company”), the Company is happy to inform you that you have been awarded a retention bonus in the amount of $[] (the “Retention Bonus”), subject to the terms and conditions set forth in this Retention Bonus Agreement (this “Agreem |
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| November 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 26, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| November 28, 2023 |
HARPOON THERAPEUTICS, INC. RESTRICTED STOCK UNIT AWARD Exhibit 10.2 HARPOON THERAPEUTICS, INC. RESTRICTED STOCK UNIT AWARD Harpoon Therapeutics, Inc. (the “Company”) hereby grants the following award in the form of Restricted Stock Units (“Restricted Stock Units” or “RSUs”) pursuant to its 2019 Equity Incentive Plan (the “Plan”). The terms of the grant are set forth in the attached Restricted Stock Unit Award Agreement (the “Agreement”). NOTICE OF GRA |
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| November 24, 2023 |
Up to $59,086,211 of Shares of Common Stock 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-271400 Amendment No. 1 dated November 24, 2023 (To Prospectus dated May 15, 2023) Up to $59,086,211 of Shares of Common Stock This Amendment No. 1, or Amendment, amends our prospectus dated May 15, 2023 (File No. 333-271400), or the Prospectus, relating to shares of our common stock that may be issued and sold in accorda |
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| November 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| November 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| November 9, 2023 |
Exhibit 99.1 Harpoon Therapeutics Reports Third Quarter 2023 Financial Results and Provides Corporate Update October 2023 financing funds late-stage clinical trials of HPN328 in multiple tumor types Positive interim results from Phase 1/2 trial of T cell engager HPN328 in patients with small cell lung cancer (SCLC) and other neuroendocrine tumor types presented at ESMO 2023 HPN328 Phase 2 monother |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Ther |
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| November 6, 2023 |
HARP / Harpoon Therapeutics Inc / RA CAPITAL MANAGEMENT, L.P. - SC 13G Passive Investment SC 13G 1 tm2329869d1sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* HARPOON THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P205 (CUSIP Number) October 26, 2023 (Date of Event Which Requires Filing of this Statement) Che |
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| November 6, 2023 |
EX-99.1 2 exhibit99-1.htm JOINT FILING AGREEMENT BY AND AMONG THE REPORTING PERSONS Exhibit 99.1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of November 6, 2023, is by and among Cormorant Global Healthcare Master Fund, LP, Cormorant Global Healthcare GP, LLC, Cormorant Private Healthcare Fund II, LP, Cormorant Private Healthcare GP II, LLC Cormorant Asset Management, LP and Bihua |
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| November 6, 2023 |
HARP / Harpoon Therapeutics Inc / CITADEL ADVISORS LLC - SC 13G Passive Investment SC 13G 1 tm2329959d1sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. )* Harpoon Therapeutics, Inc. (Name of Issuer) Common stock, par value $0.0001 per share (the “Shares”) (T |
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| November 6, 2023 |
HARP / Harpoon Therapeutics Inc / Cormorant Asset Management, LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 41358P205 (CUSIP Number) October 25, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| November 6, 2023 |
EX-99.1 2 tm2329959d1ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G filed herewith (and any amendments thereto), relating to the Shares of Harpoon Therapeutics, Inc., a Delaware corporation, is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d-1(c) under the Securities Exchange Act of 19 |
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| November 3, 2023 |
HARP / Harpoon Therapeutics Inc / COMMODORE CAPITAL LP Passive Investment SC 13G 1 formsc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Harpoon Therapeutics, Inc. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 41358P205 (CUSIP Number) October 25, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriat |
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| October 26, 2023 |
EX-99.1 2 ea187336ex99-1harpoon.htm JOINT FILING AGREEMENT EXHIBIT A JOINT FILING AGREEMENT Soleus Private Equity GP III, LLC, a Delaware limited liability company, Soleus Private Equity Fund III, L.P., a Delaware limited partnership, Soleus PE GP III, LLC, a Delaware limited liability company, Soleus Capital Master Fund, L.P., a Cayman Islands exempted limited partnership, Soleus Capital, LLC, a |
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| October 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* HARPOON THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P106 (CUSIP Number) October 25, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| October 24, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of October 22, 2023, between Harpoon Therapeutics, Inc., a Delaware corporation (the “Company”), and the several purchasers identified on the signature pages hereto (each, including its respective successors and assigns, a “Purchaser”). WHEREAS, subject to the terms and conditions set forth |
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| October 24, 2023 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of October 22, 2023, between Harpoon Therapeutics, Inc., a Delaware corporation (the “Company”), and each of the several investors signatory hereto (each, an “Investor” and, collectively, the “Investors”). This Agreement is made pursuant to the Securities Purchase Agreement, |
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| October 24, 2023 |
COMMON STOCK PURCHASE WARRANT HARPOON THERAPEUTICS, INC. Warrant Number: ____ Issue Date: , 2023 Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER APPLICABLE STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO |
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| October 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 24, 2023 |
Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER APPLICABLE STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO |
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| October 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 23, 2023 |
Spearheading Immunotherapies ESMO 2023 – HPN328 Investor webcast october 23, 2023 Exhibit 99. |
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| September 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 1, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| September 1, 2023 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HARPOON THERAPEUTICS, INC. HARPOON THERAPEUTICS, INC. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: ONE: The name of the Corporation is Harpoon Therapeutics, Inc. TWO: The date of filing |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| August 9, 2023 |
EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Second Quarter 2023 Financial Results and Provides Corporate Update Abstracts for HPN217 and HPN328 accepted for presentations at the International Myeloma Society (IMS) Annual Meeting and the European Society for Medical Oncology (ESMO) in the fall Enrollment for HPN328 (DLL3) ongoing; Phase 2 dose selection expected by year |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therapeut |
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| June 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissio |
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| May 30, 2023 |
7,485,762 shares of Common Stock 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-272064 PROSPECTUS 7,485,762 shares of Common Stock This prospectus covers the offer and resale by the selling stockholders identified in this prospectus of up to an aggregate of 7,485,762 shares of our common stock issuable upon the exercise of warrants that were sold to the selling stockholders in a private placement tr |
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| May 25, 2023 |
May 25, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Mr. Arzhang Navai Re: Harpoon Therapeutics, Inc. Registration Statement on Form S-3 File No. 333-272064 Acceleration Request Requested Date: May 30, 2023 Requested Time: 4:00 PM Eastern Daylight Time Ladies and Gentlemen: In accordance with Rule 461 under t |
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| May 19, 2023 |
As filed with the Securities and Exchange Commission on May 18, 2023 S-3 Table of Contents As filed with the Securities and Exchange Commission on May 18, 2023 Registration No. |
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| May 19, 2023 |
U.S. Securities and Exchange Commission Youâve Exceeded the SECâs Traffic Limit Your request rate has exceeded the SECâs maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains |
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| May 16, 2023 |
Up to $8,500,000 of Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-271400 PROSPECTUS Up to $8,500,000 of Shares of Common Stock We have entered into a Controlled Equity OfferingSM Sales Agreement, or sales agreement, with Cantor Fitzgerald & Co., or Cantor Fitzgerald, relating to shares of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, we may offer and sell sh |
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| May 12, 2023 |
EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports First Quarter 2023 Financial Results and Provides Corporate Update Enrollment for HPN217 (BCMA) and HPN328 (DLL3) remain on track, with data updates and selection of recommended Phase 2 doses for both ongoing clinical programs planned in 2023 Five preclinical posters presented at AACR 2023 in April on HPN217, HPN328 and ProTri |
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| May 12, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 11, 2023 |
As filed with the Securities and Exchange Commission on May 11, 2023 S-3/A Table of Contents As filed with the Securities and Exchange Commission on May 11, 2023 Registration No. |
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| May 11, 2023 |
May 11, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Cindy Polynice Re: Harpoon Therapeutics, Inc. Registration Statement on Form S-3, as amended File No. 333-271400 Acceleration Request Requested Date: May 15, 2023 Requested Time: 4:00 PM Eastern Daylight Time Ladies and Gentlemen: In accordance with Rul |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therapeu |
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| April 27, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 27, 2023 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 21, 2023 |
S-3 Table of Contents As filed with the Securities and Exchange Commission on April 21, 2023 Registration No. |
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| April 21, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Harpoon Therapeutics, Inc. |
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| April 14, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 31, 2023 |
EX-99.1 EXHIBIT 1 JOINT FILING AGREEMENT The undersigned agree that the statement on Schedule 13G with respect to the Common Stock, $0.0001 par value per share, of Harpoon Therapeutics, Inc. is, and any amendments thereto signed by each of the undersigned shall be, filed on behalf of each of them pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act o |
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| March 31, 2023 |
HARP / Harpoon Therapeutics Inc / Artal International S.C.A. - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. ) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) March 23, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 30, 2023 |
HARP / Harpoon Therapeutics Inc / New Leaf Ventures III, L.P. - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 4) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) March 23, 2023 (Date |
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| March 29, 2023 |
HARP / Harpoon Therapeutics Inc / Arix Bioscience plc - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 41358P106 (CUSIP Number) Robert Lyne Chief Executive Officer Arix Bioscience plc Duke Street House 50 Duke Street London W1J 6EQ |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therapeuti |
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| March 27, 2023 |
Form of Common Stock Purchase Warrant EX-4.2 Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER APPLICABLE STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUB |
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| March 27, 2023 |
Exhibit 4.4 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Harpoon Therapeutics, Inc. has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): our common stock. The following description of our common stock is a summary and does not purport to be complete. It |
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| March 27, 2023 |
EX-10.2 Exhibit 10.2 Execution Version REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of March 22, 2023, between Harpoon Therapeutics, Inc., a Delaware corporation (the “Company”), and each of the several investors signatory hereto (each, an “Investor” and, collectively, the “Investors”). This Agreement is made pursuant to the Securi |
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| March 27, 2023 |
Power of Attorney (included on the signature page to this Registration Statement). S-8 As filed with the Securities and Exchange Commission on March 27, 2023 Registration No. |
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| March 27, 2023 |
Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 Harpoon Therapeutics, Inc. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount to be Registered(1) Proposed Maximum Offering Price Per Share Proposed Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity 2019 Equity Incentive Plan (Common stock, $0.0001 par value per share) 4 |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2023 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 27, 2023 |
EX-99.1 Exhibit 99.1 Harpoon Therapeutics Reports Fourth Quarter and Full Year 2022 Financial Results and Provides Corporate Update HPN217 (BCMA) and HPN328 (DLL3) enrollment on track, with data updates and selection of recommended Phase 2 doses for both active clinical programs planned in 2023 Completion of $25 million preferred equity financing provides sufficient cash to fund operations into th |
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| March 27, 2023 |
EX-10.1 Exhibit 10.1 Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 22, 2023, between Harpoon Therapeutics, Inc., a Delaware corporation (the “Company”), and the several purchasers identified on the signature pages hereto (each, including its respective successors and assigns, a “Purchaser”). WHEREAS, subject to the terms |
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| March 27, 2023 |
EX-3.1 Exhibit 3.1 Execution Version HARPOON THERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF 8.000% SERIES A REDEEMABLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW The undersigned, Julie Eastland, does hereby certify that: 1. Julie Eastland is the Chief Executive Officer of Harpoon Therapeutics, Inc., a Delaware corporatio |
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| March 27, 2023 |
Separation Agreement by and between Holger Wesche and the Registrant, dated as of January 31, 2023 Page 1 of 9 Exhibit 10.26 January 31, 2023 Holger Wesche, PhD VIA Electronic Delivery Re: Separation Agreement Dear Holger: This letter sets forth the substance of the Separation Agreement (the “Agreement”) between you and Harpoon Therapeutics, Inc. (the “Company”). 1. Termination Date. Your employment termination will be effective January 31, 2023 (the “Termination Date”). 2. Severance Benefits. |
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| March 27, 2023 |
Employment Offer Letter by and between Luke Walker and the Registrant dated as of September 17, 2022 Exhibit 10.25 September 17, 2022 Luke Walker Via Email/DocuSign Dear Luke, On behalf of Harpoon Therapeutics, Inc. (“Harpoon” or the “Company”), I am pleased to set forth the terms of your employment with the Company, should you accept our offer: 1) Title/Duties. You will be employed to serve on a full-time basis as Chief Medical Officer, reporting to the President and Chief Executive Officer (the |
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| February 14, 2023 |
HARP / Harpoon Therapeutics Inc / ORBIMED ADVISORS LLC - AMENDMENT NO. 3 Passive Investment SC 13G/A 1 ss1758578sc13ga.htm AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Amendment No. 3)* Under the Securities Exchange Act of 1934 Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Stat |
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| February 14, 2023 |
EX-99 2 ss1758578ex99a.htm JOINT FILING AGREEMENT EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on this Schedule 13G dated December 31, 2022 (the “Schedule 13G”), with respect to the Common Stock, par value $0.0001 per share, of Harpoon Therapeutics, Inc. is filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the |
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| February 6, 2023 |
HARP / Harpoon Therapeutics Inc / New Leaf Ventures III, L.P. - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 3) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) December 31, 2022 (Da |
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| January 18, 2023 |
HARP / Harpoon Therapeutics Inc / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment SC 13G 1 HARPSC13G.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 HARPOON THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 41358P106 (CUSIP Number) JANUARY 12, 2023 (Date of event which requires filing of this statement) Check the appropriate box to design |
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| December 12, 2022 |
EX-99.2 Spearheading Immunotherapies Ash 2022 review and business update December 12, 2022 Nasdaq: HARP Exhibit 99.2 This presentation and accompanying oral commentary contain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as “may,” “will,” “expect,” “plan,” “anticipate,” “target,” “estimate” and similar expressions (as well as oth |
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| December 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 12, 2022 |
EX-99.1 Exhibit 99.1 Harpoon Therapeutics Presents Updated Interim Results at ASH 2022 for Novel T Cell Engager HPN217 in Relapsed/Refractory Multiple Myeloma • Clinically active across a wide dose range (2.15 to 24 mg) in a Phase 1 trial of heavily pretreated patients with relapsed/refractory multiple myeloma • 77% (10/13) objective response rate (ORR) observed across highest doses (12 and 24 mg) |
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| December 1, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| November 14, 2022 |
EX99.1 Harpoon Therapeutics Updates Strategic Priorities and Reports Third Quarter 2022 Financial Results HPN217 (BCMA) interim data update at ASH 2022; HPN328 (DLL3) exploring dosing regimens and HPN601 (EpCAM) expected to enter the clinic in 2023 Strategic realignment to focus resources on ongoing clinical programs; restructuring workforce to support prioritized clinical development, reduce oper |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Ther |
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| November 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| September 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Comm |
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| August 10, 2022 |
EX99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Second Quarter 2022 Financial Results and Provides Corporate Update Presented encouraging interim data for anti-DLL3 T cell engager HPN328 from ongoing dose escalation clinical trial at the 2022 ASCO Annual Meeting Portfolio prioritization and resource alignment strengthens support for the advancement of HPN328, HPN217 and HPN601 SOUTH SAN |
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| August 10, 2022 |
As filed with the Securities and Exchange Commission on August 10, 2022 As filed with the Securities and Exchange Commission on August 10, 2022 Registration No. |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therapeut |
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| August 10, 2022 |
Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 Harpoon Therapeutics, Inc. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount to be Registered(1) Proposed Maximum Offering Price Per Share Proposed Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity 2022 Inducement Plan (Common stock, $0.0001 par value per share) 457(c) |
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| August 10, 2022 |
Harpoon Therapeutics, Inc. 2019 Equity Incentive Plan and related form agreements Exhibit 10.1 HARPOON THERAPEUTICS, INC. 2019 EQUITY INCENTIVE PLAN 1. GENERAL. (a) Successor to and Continuation of Prior Plan. The Plan is intended as the successor to and continuation of the Company’s 2015 Equity Incentive Plan (the “Prior Plan”). From and after 12:01 a.m. Pacific time on the IPO Date, no additional awards will be granted under the Prior Plan. All Awards granted on or after 12:0 |
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| June 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissio |
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| June 28, 2022 |
Exhibit 10.1 HARPOON THERAPEUTICS, INC. 2022 INDUCEMENT PLAN ADOPTED BY THE BOARD OF DIRECTORS: JUNE 27, 2022 1. GENERAL. (a) Eligible Award Recipients. The only persons eligible to receive grants of Awards under this Plan are individuals who satisfy the standards for inducement grants under NASDAQ Marketplace Rule 5635(c)(4) or 5635(c)(3), if applicable, and the related guidance under NASDAQ IM 5 |
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| June 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 12, 2022 |
Harpoon Therapeutics Reports First Quarter 2022 Financial Results and Provides Corporate Update EX99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports First Quarter 2022 Financial Results and Provides Corporate Update SOUTH SAN FRANCISCO, Calif., May 12, 2022 - Harpoon Therapeutics, Inc. (Nasdaq: HARP), a clinical-stage immunotherapy company developing novel T cell engagers, today reported financial results for the first quarter ended March 31, 2022 and provided a corporate update. ?We co |
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| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therapeu |
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| May 12, 2022 |
EXHIBIT 10.1 October 25, 2021 Julie Eastland Via Email/DocuSign Dear Julie, On behalf of Harpoon Therapeutics, Inc. (?Harpoon? or the ?Company?), I am pleased to set forth the terms of your employment with the Company, should you accept our offer: 1) Title/Duties. You will be employed to serve on a full-time basis as President and Chief Executive Officer, reporting to the Board of Directors (the ? |
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| May 12, 2022 |
Amended and Restated Non-Employee Director Compensation Policy Exhibit 10.2 Harpoon Therapeutics, Inc. Non-Employee Director Compensation Policy Adopted: December 19, 2018 Amended and Restated: March 18, 2021 Amended and Restated: October 25, 2021 Each member of the Board of Directors (the ?Board?) of Harpoon Therapeutics, Inc. (the ?Company?) who is a non-employee director of the Company (each such member, a ?Non-Employee Director?) will receive the compensa |
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| April 29, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 5, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissio |
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| March 10, 2022 |
As filed with the Securities and Exchange Commission on March 10, 2022 As filed with the Securities and Exchange Commission on March 10, 2022 Registration No. |
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| March 10, 2022 |
Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 Harpoon Therapeutics, Inc. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount to be Registered(1) Proposed Maximum Offering Price Per Share Proposed Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity 2019 Equity Incentive Plan (Common stock, $0.0001 par value per share) 4 |
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| March 10, 2022 |
EX99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Fourth Quarter and Full Year 2021 Financial Results and Provides Corporate Update SOUTH SAN FRANCISCO, Calif., March 10, 2022 - Harpoon Therapeutics, Inc. (Nasdaq: HARP), a clinical-stage immunotherapy company developing novel T cell engagers, today reported financial results for the fourth quarter and full year ended December 31, 2021 and |
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| March 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 10, 2022 |
Exhibit 10.22 October 25, 2021 Gerald McMahon, PhD VIA DOCUSIGN Re: Transition and Retirement Agreement Dear Jerry: This letter sets forth the substance of the Transition and Retirement Agreement (the ?Agreement?) between you and Harpoon Therapeutics, Inc. (the ?Company?). 1. Resignation Date. You hereby resign from the Company effective October 26, 2021 (the ?Resignation Date?) and the Company he |
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| March 10, 2022 |
Harpoon Therapeutics, Inc. South San Francisco, CA Exhibit 10.23 October 25, 2021 Julie Eastland Via Email/DocuSign Dear Julie, On behalf of Harpoon Therapeutics, Inc. (?Harpoon? or the ?Company?), I am pleased to set forth the terms of your employment with the Company, should you accept our offer: 1) Title/Duties. You will be employed to serve on a full-time basis as President and Chief Executive Officer, reporting to the Board of Directors (the |
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| March 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therapeuti |
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| February 14, 2022 |
HARP / Harpoon Therapeutics Inc / Logos Global Management LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 41358P106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 11, 2022 |
HARP / Harpoon Therapeutics Inc / ORBIMED ADVISORS LLC - AMENDMENT NO. 2 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Amendment No. |
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| February 11, 2022 |
CUSIP No. 41358P106 SCHEDULE 13G Page 8 of 8 Pages EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on this Schedule 13G dated February 11, 2022 (the ?Schedule 13G?), with respect to the Common Stock, par value $0.0001 per share, of Harpoon Therapeutics, Inc. is filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under th |
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| February 11, 2022 |
HARP / Harpoon Therapeutics Inc / New Leaf Ventures III, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 2) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) December 31, 2021 (Date of Eve |
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| January 11, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2022 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 11, 2022 |
Spearheading Immunotherapies Investor Presentation January 2022 Exhibit 99.1 This presentation and accompanying oral commentary contain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as ?may,? ?will,? ?expect,? ?plan,? ?anticipate,? ?target,? ?estimate? and similar expressions (as well as other words or expressions referencing futu |
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| December 27, 2021 |
HARP / Harpoon Therapeutics Inc / Logos Global Management LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 41358P106 (CUSIP Number) December 17, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| December 13, 2021 |
Advancing T Cell Engager Immunotherapies DECEMBER 13, 2021 Exhibit 99.3 This presentation and accompanying oral commentary contain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as ?may,? ?will,? ?expect,? ?plan,? ?anticipate,? ?target,? ?estimate? and similar expressions (as well as other words or expressions referencing future ev |
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| December 13, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 13, 2021 |
Exhibit 99.2 FOR IMMEDIATE RELEASE Harpoon Therapeutics Provides Pipeline Update for TriTAC? Clinical Programs and T Cell Engager Platforms ? Compelling initial clinical activity for HPN328 (DLL3) and HPN217 (BCMA) targeting programs observed in escalation phase of ongoing trials ? Encouraging profile of tolerability and activity seen at higher doses in both HPN217 and HPN328; low grade CRS manage |
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| December 13, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Presents Interim Clinical Data from its Ongoing Phase 1/2 Study and New Preclinical Results for BCMA-targeting TriTAC? HPN217 at the 63rd ASH Annual Meeting and Exposition Encouraging clinical activity in higher dose cohorts with 63% ORR and 88% DCR reported in 2150 ?g/week cohort with 8 disease evaluable patients with relapsed/refractory mul |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Ther |
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| November 10, 2021 |
EXHIBIT 10.1 AMENDMENT NO. 1 TO AMENDED AND RESTATED DISCOVERY COLLABORATION AND LICENSE AGREEMENT This Amendment No. 1 to the Amended and Restated Discovery Collaboration and License Agreement (?First Amendment?) is made and entered into, effective as of [], 2021 (?First Amendment Effective Date?), by and between Harpoon Therapeutics, Inc., a Delaware corporation (?Harpoon?), and AbbVie Biotechno |
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| November 10, 2021 |
Harpoon Therapeutics Reports Third Quarter 2021 Financial Results and Provides Corporate Update EXHIBIT 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Third Quarter 2021 Financial Results and Provides Corporate Update SOUTH SAN FRANCISCO, Calif., November 10, 2021 - Harpoon Therapeutics, Inc. (Nasdaq: HARP), a clinical-stage immunotherapy company developing a novel class of T cell engagers, today reported financial results for the third quarter ended September 30, 2021 and provided |
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| November 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| October 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therap |
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| August 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| August 5, 2021 |
EXHIBIT 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Second Quarter 2021 Financial Results and Provides Corporate Update Presented updated interim Phase 1/2a clinical trial data for PSMA-targeting TriTAC? HPN424 in prostate cancer at ASCO Annual Meeting Provided clinical trial updates for three additional TriTAC programs and ProTriTAC platform SOUTH SAN FRANCISCO, Calif., August 5, 2021 |
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| July 16, 2021 |
HARP / Harpoon Therapeutics Inc / Arix Bioscience plc - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class |
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| June 4, 2021 |
Harpoon Therapeutics Provides Progress Update for TriTAC® Clinical Programs and ProTriTAC™ Platform Exhibit 99.2 FOR IMMEDIATE RELEASE Harpoon Therapeutics Provides Progress Update for TriTAC? Clinical Programs and ProTriTAC? Platform ? Three TriTAC clinical programs (HPN424, HPN536 and HPN328) have shown tumor size reductions or stable disease, and meaningful treatment duration ? All four clinical programs demonstrate half-life extension, target engagement and T cell activation ? Cytokine relea |
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| June 4, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Presents Updated Interim Clinical Data for the PSMA-targeting TriTAC? HPN424 at the 2021 ASCO Annual Meeting ? The ongoing dose escalation Phase 1/2a trial has enrolled 89 patients with progressive, metastatic castration-resistant prostate cancer in 13 cohorts. ? Safety data continues to show that HPN424 is generally well tolerated, and cytok |
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| June 4, 2021 |
Spearheading Immunotherapies PIPELINE UPDATE June 4, 2021 Exhibit 99.3 This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as ?may,? ?will,? ?expect,? ?plan,? ?anticipate,? ?target,? ?estimate,? ?intend? and similar expressions (as well as other words or expressions referencing future events, conditions or cir |
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| June 4, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Thera |
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| May 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 6, 2021 |
EXHIBIT 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports First Quarter 2021 Financial Results and Provides Corporate Update Presented encouraging data at the AACR Annual Meeting on potential therapeutic effects of TriTACs and ProTriTACs Appointed experienced biotech leader Alan Colowick, M.D., to board of directors Clinical data updates for all four TriTAC clinical programs expected in 2021 |
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| May 6, 2021 |
Exhibit C Joint Filing Statement I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the beneficial ownership by the undersigned of the equity securities of Harpoon Therapeutics, Inc. |
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| May 6, 2021 |
Amended and Restated Non-Employee Director Compensation Policy EX 10.1 Harpoon Therapeutics, Inc. Non-Employee Director Compensation Policy Adopted: December 19, 2018 Amended and Restated Effective: March 18, 2021 Each member of the Board of Directors (the ?Board?) of Harpoon Therapeutics, Inc. (the ?Company?) who is a non-employee director of the Company (each such member, a ?Non-Employee Director?) will receive the compensation described in this Non-Employe |
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| May 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 41358P 10 6 (CUSIP Number) Ansbert Gadicke MPM Asset Management 450 Kendall Street Cambridge, MA 01242 Telephone: (617) 425-9200 (Name, Address and Telephone Number o |
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| April 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| March 24, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therapeuti |
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| March 10, 2021 |
March 10, 2021 (File No. 333-254098) As filed with the Securities and Exchange Commission on March 10, 2021 Registration No. |
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| March 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 10, 2021 |
EX-99.1 2 harp-ex99114.htm EX-99.1 EXHIBIT 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Fourth Quarter and Full Year 2020 Financial Results and Provides Corporate Update Provided positive update on its four TriTAC® clinical trials, including a confirmed partial response for HPN424 in the treatment of metastatic castration-resistant prostate cancer Nominated first ProTriTAC™ candidate, H |
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| February 16, 2021 |
EX-99.C Exhibit C Joint Filing Statement I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the beneficial ownership by the undersigned of the equity securities of Harpoon Therapeutics, Inc. is filed on behalf of each of the undersigned. Date: February 11, 2021 MPM BIOVENTURES 2014, L.P. By: MPM BioVentures 2014 GP LLC, its Gener |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 41358P 10 6 (CUSIP Number) Ansbert Gadicke MPM Asset Management 450 Kendall Street Cambridge, MA 01242 Telephone: (617) 425-9200 (Name, Address and Telephone Number o |
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| February 12, 2021 |
EX-99.A 2 ss192020ex99a.htm JOINT FILING AGREEMENT CUSIP No. 41358P106 SCHEDULE 13G Page 8 of 8 Pages EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on this Schedule 13G dated February 12, 2021 (the “Schedule 13G”), with respect to the Common Stock, par value $0.0001 per share, of Harpoon Therapeutics, Inc. is filed on behalf of each of us pursuant to and in accor |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 12, 2021 |
SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) Marcus Karia, Group Finance Director 20 Berkeley Square, Mayfair, London W1J 6EQ, United Kingdom (Name, Address and Te |
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| January 11, 2021 |
Financial Statements and Exhibits, Other Events - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Co |
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| January 11, 2021 |
EX-99.1 2 d930925dex991.htm EX-99.1 Exhibit 99.1 Harpoon Therapeutics Announces Closing of Public Offering of Common Stock Underwriters Fully Exercise Option to Purchase Additional Shares South San Francisco, Calif., January 11, 2021 – Harpoon Therapeutics, Inc. (Nasdaq: HARP) announced today the closing of its underwritten public offering of 6,764,704 shares of its common stock, which includes 88 |
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| January 7, 2021 |
EX-99.2 Exhibit 99.2 Risk Factor Summary An investment in our common stock involves a high degree of risk. Below is a summary of material factors that make an investment in our common stock speculative or risky. Importantly, this summary does not address all of the risks that we face. Please refer to “Risk Factors” below for additional discussion of the risks summarized in this risk factor summary |
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| January 7, 2021 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-237175 PROSPECTUS SUPPLEMENT (To Prospectus dated April 23, 2020) 5,882,352 Shares Common Stock We are offering 5,882,352 shares of our common stock. Our common stock is listed on the Nasdaq Global Select Market under the symbol “HARP.” On January 6, 2021, the last reported sales price of our common stock on the Nasdaq G |
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| January 7, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 6, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Com |
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| January 7, 2021 |
EX-1.1 2 d82298dex11.htm EX-1.1 EXHIBIT 1.1 Harpoon Therapeutics, Inc. 5,882,352 Shares Common Stock ($0.0001 par value per share) Underwriting Agreement New York, New York January 6, 2021 SVB Leerink LLC Piper Sandler & Co. As Representatives of the several Underwriters c/o SVB Leerink LLC One Federal Street, 37th Floor Boston, Massachusetts 02110 c/o Piper Sandler & Co. 800 Nicollet Mall, Suite |
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| January 7, 2021 |
Harpoon Therapeutics Announces Pricing of Public Offering of Common Stock EX-99.1 4 d82298dex991.htm EX-99.1 Exhibit 99.1 Harpoon Therapeutics Announces Pricing of Public Offering of Common Stock South San Francisco, Calif., January 6, 2021 – Harpoon Therapeutics, Inc. (Nasdaq: HARP), announced today the pricing of an underwritten public offering of 5,882,352 shares of its common stock at a price to the public of $17.00 per share. Harpoon Therapeutics expects that the g |
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| January 6, 2021 |
SUBJECT TO COMPLETION, DATED JANUARY 6, 2021 424B5 Table of Contents The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. |
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| January 4, 2021 |
Financial Statements and Exhibits, Other Events - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 4, 2021 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Com |
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| January 4, 2021 |
EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Doses First Patient with HPN328, an Anti-DLL3 T Cell Engager for Treatment of Small Cell Lung Cancer and other DLL3-Associated Tumors HPN328, Harpoon’s fourth TriTAC® T cell engager, enters clinical development SOUTH SAN FRANCISCO, Calif., January 4, 2021—Harpoon Therapeutics, Inc. (NASDAQ: HARP), a clinical-stage immunotherapy compan |
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| December 11, 2020 |
EX-99.1 2 d55120dex991.htm EX-99.1 Exhibit 99.1 Risk Factor Summary An investment in our common stock involves a high degree of risk. Below is a summary of material factors that make an investment in our common stock speculative or risky. Importantly, this summary does not address all of the risks that we face. Please refer to “Risk Factors” below for additional discussion of the risks summarized |
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| December 11, 2020 |
Financial Statements and Exhibits, Other Events - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (C |
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| December 9, 2020 |
Financial Statements and Exhibits, Other Events - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Co |
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| December 9, 2020 |
EX-99.2 Exhibit 99.2 Exhibit 99.2 Spearheading Immunotherapies CLINICAL PIPELINE UPDATE DECEMBER 8, 2020 This presentation contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as “may,” “will,” “expect,” “plan,” “anticipate,” “target,” “estimate,” “intend” and similar expressions (as well as other words or expressions referencin |
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| December 9, 2020 |
EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Clinical Progress Across All Four TriTAC® Pipeline Development Programs HPN424 has shown confirmed partial response in treatment of metastatic castration-resistant prostate cancer in highest fixed dose cohort (160 ng/kg) of continuing Phase 1/2a dose escalation trial Three of seven patients in highest fixed dose HPN424 cohort |
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| November 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| November 4, 2020 |
Harpoon Therapeutics Reports Third Quarter 2020 Financial Results and Provides Corporate Update EXHIBIT 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Third Quarter 2020 Financial Results and Provides Corporate Update SOUTH SAN FRANCISCO, Calif., November 4, 2020 - Harpoon Therapeutics, Inc. (Nasdaq: HARP), a clinical-stage immunotherapy company developing a novel class of T cell engagers, today reported financial results for the third quarter ended September 30, 2020 and provided a |
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| November 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon T |
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| August 5, 2020 |
First Amendment to the Development and Option Agreement between the Registrant and AbbVie EXHIBIT 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH NOT MATERIAL AND WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. FIRST AMENDMENT TO THE DEVELOPMENT AND OPTION AGREEMENT This First Amendment (the “First Amendment”) to the Development and Option Agreement dated November 20, 2019 (the “Agreement”) by and between Harp |
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| August 5, 2020 |
EXHIBIT 10.2 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH NOT MATERIAL AND WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. April 15, 2020 AbbVie Biotechnology Ltd. c/o Conyers, Dill & Pearman, Clarendon House, 2 Church Street, Hamilton HM 11 Bermuda AbbVie Inc. 1 North Waukegan Road North Chicago, Illinois 60064 United Stat |
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| August 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commissi |
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| August 5, 2020 |
Quarterly Report - 10-Q Q2 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Therap |
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| August 5, 2020 |
Harpoon Therapeutics Reports Second Quarter 2020 Financial Results and Provides Corporate Update EXHIBIT 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports Second Quarter 2020 Financial Results and Provides Corporate Update – Presented positive interim Phase 1 clinical trial data for PSMA-targeting HPN424 in prostate cancer at ASCO20, supporting increased dose escalation – Dosed first patient with HPN217 targeting BCMA for the treatment of multiple myeloma, triggering a $50 million miles |
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| July 2, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| June 1, 2020 |
HARP / Harpoon Therapeutics, Inc. / Arix Bioscience Plc - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) Harpoon Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 41358P106 (CUSIP Number) Marcus Karia, Group Finance Director 20 Berkeley Square, Mayfair, London W1J 6EQ, United Kingdom (Name, Address and Te |
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| June 1, 2020 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| May 29, 2020 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commis |
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| May 29, 2020 |
EX-99.2 3 d937921dex992.htm EX-99.2 Spearheading Immunotherapies Phase 1 HPN424 Interim Data Presentation and Pipeline Update May 29, 2020 Exhibit 99.2 Forward-looking Statements This presentation contains forward-looking statements about Harpoon Therapeutics, Inc.. All statements other than statements of historical facts contained in this presentation are forward-looking statements, including sta |
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| May 29, 2020 |
EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Presents Interim Phase 1 Data from an Ongoing Dose Escalation Trial for the PSMA-targeting TriTAC ® HPN424 at the ASCO20 Virtual Scientific Program • The on-going dose escalation Phase 1 study has enrolled 44 patients with progressive, metastatic castration-resistant prostate cancer in 11 cohorts. • Initial safety data showed that HPN |
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| May 6, 2020 |
Quarterly Report - 10-Q Q1 03312020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-38800 Harpoon Thera |
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| May 6, 2020 |
Harpoon Therapeutics Reports First Quarter 2020 Financial Results and Provides Corporate Update EXHIBIT 99.1 FOR IMMEDIATE RELEASE Harpoon Therapeutics Reports First Quarter 2020 Financial Results and Provides Corporate Update – Dosed first patient with HPN217 for the treatment of multiple myeloma, triggering a $50 million milestone payment from AbbVie Abstract for HPN424 interim Phase 1 data accepted for presentation at ASCO20 Virtual SOUTH SAN FRANCISCO, Calif., May 6, 2020 - Harpoon Thera |
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| May 6, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 21, 2020 |
CORRESP HARPOON THERAPEUTICS, INC. 131 Oyster Point Blvd, Suite 300 South San Francisco, CA 94080 April 21, 2020 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Irene Paik Re: Harpoon Therapeutics, Inc. Registration Statement on Form S-3 Filed March 13, 2020 File No. 333-237175 Acceleration Re |
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| April 17, 2020 |
HARP / Harpoon Therapeutics, Inc. DEFA14A - - DEFA14A DEFA14A 1 d917675ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commissi |
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| April 17, 2020 |
8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) ( |
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| April 17, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 6, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 3, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) (Commi |
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| April 1, 2020 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2020 Harpoon Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38800 47-3458693 (State or Other Jurisdiction of Incorporation) |
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| March 13, 2020 |
EX-4.6 EXHIBIT 4.6 HARPOON THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF HARPOON THERAPEUTICS, INC. FORM OF COMMON STOCK WARRANT AGREEMENT THIS COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of between HARPOON THERAPEUTICS, INC., a Delaware corporation (the “Company”) and , a [corporation] [national banking association] organized and exis |
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| March 13, 2020 |
March 13, 2020 (File No. 333-237173) S-8 As filed with the Securities and Exchange Commission on March 13, 2020 Registration No. |
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| March 13, 2020 |
EX-1.1 Exhibit 1.1 Harpoon Therapeutics, Inc. Shares of Common Stock (par value $0.0001 per share) Controlled Equity OfferingSM Sales Agreement March 13, 2020 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Ladies and Gentlemen: Harpoon Therapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. (the “Agent”), as fol |
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| March 13, 2020 |
EX-4.4 EXHIBIT 4.4 HARPOON THERAPEUTICS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 20 Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certifi |
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| March 13, 2020 |
EX-4.8 EXHIBIT 4.8 HARPOON THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF HARPOON THERAPEUTICS, INC. FORM OF DEBT SECURITIES WARRANT AGREEMENT THIS DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of between HARPOON THERAPEUTICS, INC., a Delaware corporation (the “Company”) and , a [corporation] [national banking association] organized |
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| March 13, 2020 |
S-3 As filed with the Securities and Exchange Commission on March 13, 2020 Registration No. |
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| March 13, 2020 |
CORRESP Jonie I. Kondracki T: +1 415 693 2174 [email protected] VIA EDGAR March 13, 2020 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Harpoon Therapeutics, Inc. - Registration Statement on Form S-3 (File No. 333-237175) Dear Sir or Madam: On behalf of Harpoon Therapeutics, Inc. (the “Company”), we transmit for filing unde |
