4//SEC Filing
Ferrell Jeffrey 4
Accession 0000950170-24-081928
CIK 0001580063other
Filed
Jul 4, 8:00 PM ET
Accepted
Jul 5, 9:00 PM ET
Size
21.3 KB
Accession
0000950170-24-081928
Insider Transaction Report
Form 4
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Athyrium Opportunities 2020 LP
10% Owner
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Ferrell Jeffrey
Director10% Owner
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Athyrium Funds GP Holdings LLC
10% Owner
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Transactions
- Award
11.00%/13.00% Convertible Senior Secured Notes due 2028
2024-07-02(indirect: See footnotes)Exercise: $1.56From: 2024-07-02Exp: 2028-12-19→ Common Stock (651,862 underlying)
Footnotes (4)
- [F1]Represents $245,700 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company") on July 2, 2024 to Athyrium Opportunities III Acquisition LP ("Acquisition LP") and $771,206 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company on July 2, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as payment-in-kind interest.
- [F2]Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.
- [F3]Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.
- [F4]Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
Documents
Issuer
BIORA THERAPEUTICS, INC.
CIK 0001580063
Entity typeother
Related Parties
1- filerCIK 0001394967
Filing Metadata
- Form type
- 4
- Filed
- Jul 4, 8:00 PM ET
- Accepted
- Jul 5, 9:00 PM ET
- Size
- 21.3 KB