4//SEC Filing
RAKIN KEVIN 4
Accession 0001104659-24-084967
CIK 0001708527other
Filed
Jul 31, 8:00 PM ET
Accepted
Aug 1, 4:54 PM ET
Size
26.1 KB
Accession
0001104659-24-084967
Insider Transaction Report
Form 4
ELUTIA INC.ELUT
HighCape Capital, L.P.
Director10% Owner
Transactions
- Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes) - Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying)
HIGHCAPE PARTNERS, L.P.
10% Owner
Transactions
- Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes) - Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying)
HIGHCAPE PARTNERS QP, L.P.
10% Owner
Transactions
- Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying) - Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes)
HighCape Partners QP II, L.P.
10% Owner
Transactions
- Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying) - Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes)
Zuga Matt
Director10% Owner
Transactions
- Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying) - Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes)
HighCape Partners GP, LLC
10% Owner
Transactions
- Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying) - Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes)
HighCape Partners GP II, LLC
10% Owner
Transactions
- Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes) - Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying)
RAKIN KEVIN
Director10% Owner
Transactions
- Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes) - Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying)
HighCape Partners GP II, L.P.
10% Owner
Transactions
- Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying) - Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes)
HighCape Partners GP, L.P.
10% Owner
Transactions
- Exercise of In-Money
Class A Common Stock
2024-07-30$1.43/sh+2,101,577$3,000,001→ 9,100,232 total(indirect: See footnotes) - Exercise of In-Money
Warrants (right to buy)
2024-07-30−2,101,577→ 0 total(indirect: See footnote)Exercise: $1.43From: 2023-09-21→ Class A Common Stock (2,101,577 underlying)
Footnotes (5)
- [F1]Includes: (i) 53,818 shares of Common Stock held of record by HighCape Partners, L.P.; (ii) 4,001,428 shares of Common Stock held of record by HighCape Partners QP, L.P.; (iii) 499,145 shares of Common Stock held of record by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Common Stock held of record by HighCape Co-Investment Vehicle II, LLC; (v) 48,931 shares of Common Stock held of record by HighCape Capital, L.P; (vi) 86,613 shares of Common Stock held of record by HighCape Partners II, L.P.; and (vii) 4,151,015 shares of Common Stock held of record by HighCape Partners QP II, L.P.
- [F2]Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which is the general partner ("GP") of HighCape Partners GP, L.P., which is the GP of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which is the GP of HighCape Capital, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Partners GP II, LLC, which is the GP of HighCape Partners GP II, L.P., which is the GP of each of HighCape Partners II, L.P. and HighCape Partners QP II, L.P. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC.
- [F3]Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P., HighCape Partners QP, L.P., HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC, and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P. In addition, each of Mr. Rakin, Mr. Zuga, HighCape Partners GP II, LLC and HighCape Partners GP II, L.P. may be deemed to beneficially own the securities held by HighCape Partners II, L.P. and HighCape Partners QP II, L.P. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.
- [F4]The warrant has expired. The warrant provided for expiration upon the earlier of (a) 30 trading days after the clearance by the U.S. Food & Drug Administration of the issuer's CanGarooRM antibiotic-eluting biologic envelope (which has elapsed) or (b) September 21, 2028.
- [F5]Warrants for 2,058,623 shares of Common Stock were exercised by HighCape Partners QP II, L.P. and warrants for 42,954 shares of Common Stock were exercised by HighCape Partners II, L.P.
Documents
Issuer
ELUTIA INC.
CIK 0001708527
Entity typeother
Related Parties
1- filerCIK 0001184421
Filing Metadata
- Form type
- 4
- Filed
- Jul 31, 8:00 PM ET
- Accepted
- Aug 1, 4:54 PM ET
- Size
- 26.1 KB