# EDGAR Filing Document

**Accession Number:** 0001625653
**File Stem:** 0000899243-23-009744
**Filing Date:** 2023-3
**Character Count:** 18179
**Document Hash:** 3eb2f363d3d43a3d8cff0acb5380b5ba
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-009744.hdr.sgml**: 20230327

**ACCESSION NUMBER**: 0000899243-23-009744

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230323

**FILED AS OF DATE**: 20230327

**DATE AS OF CHANGE**: 20230327

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lathi Vijay K
- **CENTRAL INDEX KEY:** 0001340806

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23765670

**MAIL ADDRESS:**
- **STREET 1:** C/O NEW LEAF VENTURE PARTNERS
- **STREET 2:** 2500 SAND HILL ROAD, SUITE 203
- **CITY:** MENLO PARK
- **STATE:** CA
- **ZIP:** 94025
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** New Leaf Ventures III, L.P.
- **CENTRAL INDEX KEY:** 0001625653
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23765675

**BUSINESS ADDRESS:**
- **STREET 1:** C/O NEW LEAF VENTURE PARTNERS
- **STREET 2:** 7 TIMES SQUARE, SUITE 3502
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
- **BUSINESS PHONE:** 646-871-6400

**MAIL ADDRESS:**
- **STREET 1:** C/O NEW LEAF VENTURE PARTNERS
- **STREET 2:** 7 TIMES SQUARE, SUITE 3502
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** New Leaf Venture Associates III, L.P.
- **CENTRAL INDEX KEY:** 0001625656
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23765674

**BUSINESS ADDRESS:**
- **STREET 1:** C/O NEW LEAF VENTURE PARTNERS
- **STREET 2:** 7 TIMES SQUARE, SUITE 3502
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
- **BUSINESS PHONE:** 646-871-6400

**MAIL ADDRESS:**
- **STREET 1:** C/O NEW LEAF VENTURE PARTNERS
- **STREET 2:** 7 TIMES SQUARE, SUITE 3502
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** New Leaf BPO Associates II, L.P.
- **CENTRAL INDEX KEY:** 0001740783
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23765672

**BUSINESS ADDRESS:**
- **STREET 1:** 420 LEXINGTON AVENUE, SUITE 408
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10170
- **BUSINESS PHONE:** (646) 871-6400

**MAIL ADDRESS:**
- **STREET 1:** 420 LEXINGTON AVENUE, SUITE 408
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10170
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** New Leaf Venture Management III, L.L.C.
- **CENTRAL INDEX KEY:** 0001625657
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23765673

**BUSINESS ADDRESS:**
- **STREET 1:** C/O NEW LEAF VENTURE PARTNERS
- **STREET 2:** 7 TIMES SQUARE, SUITE 3502
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
- **BUSINESS PHONE:** 646-871-6400

**MAIL ADDRESS:**
- **STREET 1:** C/O NEW LEAF VENTURE PARTNERS
- **STREET 2:** 7 TIMES SQUARE, SUITE 3502
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** New Leaf Biopharma Opportunities II, L.P.
- **CENTRAL INDEX KEY:** 0001735293
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23765676

**BUSINESS ADDRESS:**
- **STREET 1:** 420 LEXINGTON AVENUE, SUITE 408
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10170
- **BUSINESS PHONE:** (646) 871-6400

**MAIL ADDRESS:**
- **STREET 1:** 420 LEXINGTON AVENUE, SUITE 408
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10170
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** New Leaf BPO Management II, L.L.C
- **CENTRAL INDEX KEY:** 0001740755
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23765671

**BUSINESS ADDRESS:**
- **STREET 1:** 420 LEXINGTON AVENUE, SUITE 408
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10170
- **BUSINESS PHONE:** (646) 871-6400

**MAIL ADDRESS:**
- **STREET 1:** 420 LEXINGTON AVENUE, SUITE 408
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10170
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Harpoon Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001708493
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 473458693
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BOULEVARD
- **STREET 2:** SUITE 300
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080
- **BUSINESS PHONE:** 650-443-7400

**MAIL ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BOULEVARD
- **STREET 2:** SUITE 300
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>New Leaf Biopharma Opportunities II, L.P.<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW LEAF VENTURES<br>156 FIFTH AVENUE, SUITE 830<br><sub>(Street)</sub><br>NEW YORK, NY 10010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Harpoon Therapeutics, Inc. [ HARP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-23 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>New Leaf Ventures III, L.P.<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW LEAF VENTURES<br>156 FIFTH AVENUE, SUITE 830<br><sub>(Street)</sub><br>NEW YORK, NY 10010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Harpoon Therapeutics, Inc. [ HARP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-23 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>New Leaf Venture Associates III, L.P.<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW LEAF VENTURES<br>156 FIFTH AVENUE, SUITE 830<br><sub>(Street)</sub><br>NEW YORK, NY 10010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Harpoon Therapeutics, Inc. [ HARP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-23 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>New Leaf Venture Management III, L.L.C.<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW LEAF VENTURES<br>156 FIFTH AVENUE, SUITE 830<br><sub>(Street)</sub><br>NEW YORK, NY 10010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Harpoon Therapeutics, Inc. [ HARP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-23 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>New Leaf BPO Associates II, L.P.<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW LEAF VENTURES<br>156 FIFTH AVENUE, SUITE 830<br><sub>(Street)</sub><br>NEW YORK, NY 10010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Harpoon Therapeutics, Inc. [ HARP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-23 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>New Leaf BPO Management II, L.L.C<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW LEAF VENTURES<br>156 FIFTH AVENUE, SUITE 830<br><sub>(Street)</sub><br>NEW YORK, NY 10010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Harpoon Therapeutics, Inc. [ HARP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-23 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Lathi Vijay K<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW LEAF VENTURES<br>156 FIFTH AVENUE, SUITE 830<br><sub>(Street)</sub><br>NEW YORK, NY 10010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Harpoon Therapeutics, Inc. [ HARP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-23 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| 8.000% Series A Redeemable Preferred Stock | 10000<sup>(1)</sup> | D<sup>(2)(3)</sup> |  |
| Common Stock | 913860 | D<sup>(2)(3)</sup> |  |
| Common Stock | 2242839 | I | See footnotes<sup>(4)(5)</sup> |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Common Stock Warrant (Right to Buy)<sup>(1)</sup> | 2023-03-23 | 2031-03-23 | Common Stock | 2994305 | $0.9789 | D<sup>(2)(3)</sup> |  |

---

### Footnotes:

(1) Shares of the Issuer's non-convertible, non-voting 8.000% Series A Redeemable Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), were purchased by New Leaf Biopharma Opportunities II, L.P. ("BPO-II") in the Issuer's private placement of Series A Preferred Stock and warrants and pursuant to a Securities Purchase Agreement, dated March 22, 2023, by and among the Issuer, BPO-II and the other purchasers named therein. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation filed as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 27, 2023.  The shares of Series A Preferred Stock and Warrants acquired by BPO-II were purchased at a price representative of $1,000 per share for the Series A Preferred Stock.

(2) These shares are held directly by BPO-II. The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

(3) Each of Ronald M. Hunt, a Board member of the Issuer, and Vijay K. Lathi, are the managing directors of BPO Management-II (the "BPO-II Managers"), and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.  Mr. Hunt is a director of the Issuer and, accordingly, files separate Section 16 reports.

(4) These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

(5) Each of Mr. Hunt, a Board member of the Issuer, and Mr. Lathi, are the managing directors of Management-III (the "NLV-III Managers"), and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Mr. Hunt is a director of the Issuer and, accordingly, files separate Section 16 reports.

**Signature:** New Leaf Ventures III, L.P., By: New Leaf Venture Associates III, L.P., its general partner, By: New Leaf Venture Management III, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer  
**Date:** 2023-03-27

**Signature:** New Leaf Venture Associates III, L.P., By: New Leaf Venture Management III, L.L.C., its general partner, by /s/ Craig Slutzkin, Chief Financial Officer  
**Date:** 2023-03-27

**Signature:** New Leaf Venture Management III, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer  
**Date:** 2023-03-27

**Signature:** New Leaf Biopharma Opportunities II, L.P., By: New Leaf BPO Associates II, L.P., its general partner, By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer  
**Date:** 2023-03-27

**Signature:** New Leaf BPO Associates II, L.P., By: New Leaf BPO Management II, L.L.C., its general partner, By: /s/ Craig Slutzkin, Chief Financial Officer  
**Date:** 2023-03-27

**Signature:** New Leaf BPO Management II, L.L.C., By: /s/ Craig Slutzkin, Chief Financial Officer  
**Date:** 2023-03-27

**Signature:** /s/ Vijay K. Lathi Vijay K. Lathi  
**Date:** 2023-03-27

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**