4//SEC Filing
Levy Guy 4
Accession 0000899243-20-034835
CIK 0001826892other
Filed
Dec 21, 7:00 PM ET
Accepted
Dec 22, 4:30 PM ET
Size
14.1 KB
Accession
0000899243-20-034835
Insider Transaction Report
Form 4
BioAtla, Inc.BCAB
Levy Guy
Director10% Owner
Transactions
- Purchase
Common Stock
2020-12-18$18.00/sh+1,055,557$19,000,026→ 1,055,557 total(indirect: See footnote) - Purchase
Common Stock
2020-12-18$18.00/sh+333,333$5,999,994→ 333,333 total(indirect: See footnote) - Conversion
Series D Convertible Preferred Stock
2020-12-18−1,790,472→ 0 total(indirect: See footnote)→ Common Stock (1,790,472 underlying) - Conversion
Common Stock
2020-12-18+1,790,472→ 1,790,472 total(indirect: See footnote)
Holdings
- 14,871
Common Stock
Footnotes (5)
- [F1]The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
- [F2]The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These securities were purchased in the Issuer's initial public offering.
- [F3]The securities reported in this row are held by Soleus BA SPV, LLC ("Soleus SPV "). Soleus GP is the sole managing member of Soleus SPV. Soleus GP holds voting and dispositive power over the shares held by Soleus SPV. Soleus PE GP is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Soleus GP, Soleus PE GP and Mr. Guy Levy disclaims beneficial ownership of these securities held by Soleus SPV and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These securities were purchased in the Issuer's initial public offering.
- [F4]The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020.
- [F5]Consists of 14,871 restricted stock units ("RSUs"). 33.3% of the RSUs vest on December 7, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to Mr. Guy Levy's continued service through the applicable vesting dates.
Documents
Issuer
BioAtla, Inc.
CIK 0001826892
Entity typeother
Related Parties
1- filerCIK 0001812305
Filing Metadata
- Form type
- 4
- Filed
- Dec 21, 7:00 PM ET
- Accepted
- Dec 22, 4:30 PM ET
- Size
- 14.1 KB