Filing Details
- Accession Number:
- 0001209191-23-001902
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-01-05 16:46:16
- Reporting Period:
- 2023-01-03
- Accepted Time:
- 2023-01-05 16:46:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1786205 | Arcellx Inc. | ACLX | Biological Products, (No Disgnostic Substances) (2836) | 472855917 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1789632 | Christopher Heery | C/O Arcellx, Inc. 25 West Watkins Mill Road, Suite A Gaithersburg MD 20878 | Chief Medical Officer | No | Yes | No | 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 | 2023-01-03 | 2,500 | $15.00 | 2,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-03 | 2,500 | $31.11 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Acquisiton | 2023-01-03 | 76,242 | $0.00 | 76,242 | $31.03 |
| Common Stock | Restricted Stock Unit | Acquisiton | 2023-01-03 | 49,558 | $0.00 | 49,558 | $0.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2023-01-03 | 2,500 | $0.00 | 2,500 | $15.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 76,242 | 2033-01-03 | No | 4 | A | Direct | |
| 49,558 | No | 4 | A | Direct | ||
| 250,205 | 2032-02-03 | No | 4 | M | Direct |
Footnotes
- The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on June 30, 2022.
- Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2022 Equity Incentive Plan) through each applicable vesting date, one forty-eighth (1/48th) of the shares subject to the option will vest each month following the Vesting Commencement Date on the same day of the month as the Vesting Commencement Date (or, if there is no corresponding day in a particular month, then the last day of the month) over four (4) years. "Vesting Commencement Date" shall mean January 1, 2023.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
- Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2022 Equity Incentive Plan) through each applicable vesting date, one-third (1/3rd) of the RSUs subject to the award will vest each year following the RSU Grant Date on the same day of the month as the RSU Grant Date (or, if there is no corresponding day in a particular month, then the last day of the month) over three (3) years. "RSU Grant Date" shall mean January 3, 2023.
- Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2022 Equity Incentive Plan) through each applicable vesting date, one forty-eighth (1/48th) of the shares subject to the option will vest each month following Equity Grant Date on the same day of the month as the Equity Grant Date (or, if there is no corresponding day in a particular month, then the last day of the month) over four (4) years. "Equity Grant Date" shall mean February 3, 2022.
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