Home > Insider Trading > Filing (0001209191-22-008192)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1786205	Arcellx Inc.	ACLX	()	4

Insiders

Cik	Name	Reported Address	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

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct

Footnotes

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.
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.
NEA 15 purchased 1,583,333 shares of Common Stock of the Issuer in connection with the Issuer's public offering.