Filing Details
- Accession Number:
- 0001567619-20-021488
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-22 16:09:11
- Reporting Period:
- 2020-12-18
- Accepted Time:
- 2020-12-22 16:09:11
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1826892 | Bioatla Inc. | BCAB | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1583977 | Cormorant Asset Management, Lp | 200 Clarendon Street, 52Nd Floor Boston MA 02116 | No | No | No | Yes | |
1599214 | Bihua Chen | C/O Cormorant Asset Management, Llc 200 Clarendon Street, 52Nd Floor Boston MA 02116 | Yes | No | Yes | No | |
1618442 | Cormorant Global Healthcare Master Fund, Lp | 200 Clarendon Street, 52Nd Floor Boston MA 02116 | No | No | Yes | No | |
1747677 | Cormorant Private Healthcare Fund Ii, Lp | 200 Clarendon Street, 52Nd Floor Boston MA 02116 | No | No | Yes | No |
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 | 2020-12-18 | 1,492,060 | $0.00 | 1,492,060 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2020-12-18 | 800,000 | $18.00 | 2,292,060 | No | 4 | P | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnotes |
No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series D Convertible Preferred Stock | Disposition | 2020-12-18 | 1,492,060 | $0.00 | 1,492,060 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect |
Footnotes
- Shares of Series D Convertible Preferred Stock ("Series D Preferred Stock") were convertible at any time at the holder's election, without payment of additional consideration, and had no expiration date but converted automatically upon the closing of the Issuer's initial public offering.
- Shares reported herein are held by Cormorant Global Healthcare Master Fund, LP (the "Master Fund"), Cormorant Private Healthcare Fund II, LP (the "Fund II") and a managed account (the "Account"). Cormorant Asset Management, LP ("Cormorant") serves as the investment manager of the Master Fund, Fund II and the Account. Bihua Chen serves as manager of the general partner of Cormorant. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or her pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934 or for any other purpose.
- The Series D Preferred Stock represented, on an as-converted basis (i) 310,945 shares of Common Stock held by the Master Fund and (ii) 1,181,115 shares of Common Stock held by Fund II.
- Shares reported herein as purchased on December 18, 2020 represent (i) 765,120 shares purchased by the Master Fund, and (ii) 34,880 shares purchased by the Account.