NODELMAN OLEG 4
4 · Nuvation Bio Inc. · Filed Nov 30, 2021
Insider Transaction Report
Form 4
NODELMAN OLEG
DirectorCEO and Chairman of the Board
Transactions
- Purchase
Class A Common Stock
2021-11-24$7.69/sh+21,758$167,230→ 1,169,241 total(indirect: See Notes 2 and 4) - Purchase
Class A Common Stock
2021-03-31$10.45/sh+151,544$1,583,635→ 6,735,790 total(indirect: See Notes 2 and 3) - Sale
Class A Common Stock
2021-07-31$8.64/sh−56,598$489,007→ 1,147,483 total(indirect: See Notes 2 and 4) - Purchase
Class A Common Stock
2021-07-31$8.64/sh+56,598$489,007→ 7,198,407 total(indirect: See Notes 2 and 3) - Sale
Class A Common Stock
2021-03-31$10.45/sh+151,544$1,583,635→ 1,145,600 total(indirect: See Notes 2 and 4) - Purchase
Class A Common Stock
2021-11-24$7.69/sh+163,268$1,254,862→ 7,361,675 total(indirect: See Notes 2 and 3)
Holdings
- 3,165,000(indirect: See Notes 2 and 5)
Class A Common Stock
- 2,200,627(indirect: See Notes 2 and 6)
Class A Common Stock
Footnotes (6)
- [F1]EcoR1 Capital Fund, L.P. ("Capital Fund") and EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") are private investment funds managed by EcoR1 Capital, LLC ("EcoR1") on a parri passu basis. These securities were transferred from Capital Fund to Qualified Fund as part of a periodic rebalancing of the portfolios of the funds.
- [F2]EcoR1 is the investment adviser to Capital Fund, Qualified Fund and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
- [F3]Qualified Fund is the record holder of these securities.
- [F4]Capital Fund is the record holder of these securities.
- [F5]EcoR1 Panacea Holdings, LLC, which is the owner of record of these securities, is managed by its managing members, Capital Fund, Qualified Fund and Venture Fund. Each of the Reporting Persons may be deemed a beneficial owner of shares held by EcoR1 Panacea Holdings, LLC, but each Reporting Person disclaims beneficial ownership of any such shares except to the extent of its respective pecuniary interest therein.
- [F6]These securities are held of record by Venture Fund. Biotech indirectly beneficially owns these securities as the general partner of Venture Fund, and Mr. Nodelman indirectly beneficially owns these securities as the control person of Biotech and EcoR1.