Filing Details
- Accession Number:
- 0001387131-21-007995
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-02 20:40:21
- Reporting Period:
- 2021-07-29
- Accepted Time:
- 2021-08-02 20:40:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1739410 | Rallybio Corp | RLYB | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1103804 | Viking Global Investors Lp | 55 Railroad Avenue Greenwich CT 06830 | No | No | Yes | No | |
1133006 | Andreas Ole Halvorsen | C/O Viking Global Investors Lp 280 Park Ave 35Th New York NY 10017 | No | No | Yes | No | |
1621842 | C. David Ott | C/O Viking Global Investors Lp 280 Park Avenue New York NY 10017 | No | No | Yes | No | |
1629472 | Viking Global Opportunities Portfolio Gp Llc | 55 Railroad Avenue Greenwich CT 06830 | No | No | Yes | No | |
1629476 | Viking Global Opportunities Gp Llc | 55 Railroad Avenue Greenwich CT 06830 | No | No | Yes | No | |
1629482 | Viking Global Opportunities Illiquid Investments Sub-Master Lp | Morgan Stanley Services (Cayman) Cricket Sq., Hutchins Dr., P.o. Box 2681 Grand Cayman KY E9KY1-1111 | No | No | Yes | No | |
1711393 | Sharon Rose Shabet | 55 Railroad Avenue Greenwich CT 06830 | 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 | 2021-07-29 | 3,388,777 | $0.00 | 3,388,777 | No | 4 | C | Indirect | See Explanation Responses |
Common Stock | Acquisiton | 2021-07-29 | 806,000 | $13.00 | 4,194,777 | No | 4 | P | Indirect | See Explanation Responses |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Explanation Responses |
No | 4 | P | Indirect | See Explanation Responses |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Preferred Units | Disposition | 2021-07-29 | 21,578,387 | $0.00 | 3,388,777 | $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
- Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
- On July 27, 2021, Opportunities Fund acquired 806,000 shares of common stock of the Issuer ("Common Stock") at a price of $13.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 4,194,777 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
- Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
- The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
- The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date.