Filing Details

Accession Number:
0001209191-22-008192
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-02-09 18:18:55
Reporting Period:
2022-02-08
Accepted Time:
2022-02-09 18:18:55
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1786205 Arcellx Inc. ACLX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1237289 D Scott Sandell 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1277631 Forest Baskett 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1559807 W. Peter Sonsini 2855 Sand Hill Road
Menlo Park CA 94025
No No Yes No
1559827 Jr. A. Anthony Florence 5425 Wisconsin Avenue, Suite 800
Chevy Chase MD 20815
No No Yes No
1629794 New Enterprise Associates 15, L.p. 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1630226 Mohamad Makhzoumi 2855 Sand Hill Road
Menlo Park CA 94025
No No Yes No
1640031 Nea Partners 15, L.p. 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1640033 Nea 15 Gp, Llc 1954 Greenspring Drive
Suite 600
Timonium MD 21093
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 2022-02-08 4,849,429 $0.00 4,849,429 No 4 C Direct
Common Stock Acquisiton 2022-02-08 1,583,333 $15.00 6,432,762 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2022-02-08 1,545,307 $0.00 1,545,307 $0.00
Common Stock Series B-1 Preferred Stock Disposition 2022-02-08 872,915 $0.00 872,915 $0.00
Common Stock Series B-2 Preferred Stock Disposition 2022-02-08 698,421 $0.00 698,421 $0.00
Common Stock Series C Preferred Stock Disposition 2022-02-08 1,732,786 $0.00 1,732,786 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
0 No 4 C Direct
Footnotes
  1. All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date.
  2. The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest.
  3. NEA 15 purchased 1,583,333 shares of Common Stock of the Issuer in connection with the Issuer's public offering.