Filing Details
- Accession Number:
- 0001193805-20-000837
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-14 11:39:10
- Reporting Period:
- 2020-07-14
- Accepted Time:
- 2020-07-14 11:39:10
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1787400 | Nkarta Inc. | NKTX | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1009258 | Deerfield Management Company, L.p. (Series C) | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1010823 | L.p. Mgmt Deerfield | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1301041 | Deerfield Partners, L.p. | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1352546 | E James Flynn | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1680307 | Deerfield Private Design Fund Iv, L.p. | 780 Third Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1713467 | Deerfield Mgmt Iv, L.p. | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2020-07-14 | 709,936 | $0.00 | 709,936 | No | 4 | C | Indirect | Through Deerfield Private Design Fund IV, L.P. |
Common Stock | Acquisiton | 2020-07-14 | 709,936 | $0.00 | 709,936 | No | 4 | C | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Acquisiton | 2020-07-14 | 500,000 | $18.00 | 1,209,936 | No | 4 | P | Indirect | Through Deerfield Private Design Fund IV, L.P. |
Common Stock | Acquisiton | 2020-07-14 | 500,000 | $18.00 | 1,209,936 | No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | Through Deerfield Private Design Fund IV, L.P. |
No | 4 | C | Indirect | Through Deerfield Partners, L.P. |
No | 4 | P | Indirect | Through Deerfield Private Design Fund IV, L.P. |
No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Preferred Stock | Disposition | 2020-07-14 | 2,626,767 | $0.00 | 709,936 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2020-07-14 | 2,626,767 | $0.00 | 709,936 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- Each share of Series B Preferred Stock automatically converted into approximately 0.2703 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The number of shares reported herein gives effect to the 1-for-3.7 reverse split of the Issuer's common stock effected by the Issuer on July 1, 2020 in connection with its initial public offering.
- This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. (collectively with Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.
- In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.