SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Topper James N

(Last) (First) (Middle)
C/O FRAZIER HEALTHCARE PARTNERS
601 UNION STREET, SUITE 3200

(Street)
SEATTLE WA 98101

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ANAPTYSBIO, INC [ ANAB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/16/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/16/2020 J(1) 973,612 D $0.00 0 I By: Frazier Healthcare V, L.P.(2)
Common Stock 11/16/2020 J(3) 344,860 D $0.00 700,171 I By: Frazier Healthcare VII, L.P.(4)
Common Stock 11/16/2020 J(5) 98,275 D $0.00 199,529 I By: Frazier Healthcare VII-A, L.P.(6)
Common Stock 11/16/2020 J(7) 22,604 A $0.00 54,458 D
Common Stock 11/16/2020 J(8) 26,354 A $0.00 80,812(9) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents a pro rata distribution in-kind by Frazier Healthcare V, L.P. to its limited partners for no consideration.
2. The reportable securities were held directly by Frazier Healthcare V, L.P. FHM V, L.P. is the general partner of Frazier Healthcare V, L.P. FHM V, L.L.C. is the general partner of FHM V, L.P. James Topper is one of five managing members of FHM V, L.L.C. Dr. Topper disclaims beneficial ownership of the securities held by Frazier Healthcare V, L.P., except to the extent of his pecuniary interest therein, if any.
3. Represents a pro rata distribution in-kind by Frazier Healthcare VII, L.P. to its limited partners for no consideration.
4. The reportable securities are held directly by Frazier Healthcare VII, L.P. FHM VII, L.P. is the general partner of Frazier Healthcare VII, L.P. FHM VII, L.L.C. is the general partner of FHM VII, L.P. James Topper is one of six managing members of FHM VII, L.L.C. Dr. Topper disclaims beneficial ownership of the securities held by Frazier Healthcare VII, L.P., except to the extent of his pecuniary interest therein, if any.
5. Represents a pro rata distribution in-kind by Frazier Healthcare VII-A, L.P. to its limited partners for no consideration.
6. The reportable securities are held directly by Frazier Healthcare VII-A, L.P. FHM VII, L.P. is the general partner of Frazier Healthcare VII-A, L.P. FHM VII, L.L.C. is the general partner of FHM VII, L.P. James Topper is one of six managing members of FHM VII, L.L.C. Dr. Topper disclaims beneficial ownership of the securities held by Frazier Healthcare VII-A, L.P., except to the extent of his pecuniary interest therein, if any.
7. Shares acquired by Dr. Topper through a distribution in-kind from Frazier Healthcare V, L.P.
8. Shares acquired by Dr. Topper through a distribution in-kind from Frazier Healthcare VII, L.P.
9. Dr. Topper also holds stock options to purchase up to an aggregate of 38,000 shares of the Issuer's Common Stock, which stock options vest according to their terms, in addition to the 80,812 shares of Common Stock that are held directly by Dr. Topper.
Remarks:
/s/ Steve R. Bailey, Attorney-In-Fact for James N. Topper 11/18/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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