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 |
|
|||||||||||||||
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*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
ANAPTYSBIO INC [ ANAB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 01/31/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
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 | 01/31/2017 | C | 1,428,571 | A | (1) | 1,428,571 | D | |||
Common Stock | 01/31/2017 | C | 486,820 | A | (1) | 1,915,391 | D | |||
Common Stock | 01/31/2017 | C | 312,986 | A | (1) | 2,228,377 | D | |||
Common Stock | 01/31/2017 | C | 673,454 | A | (1) | 2,901,831 | D | |||
Common Stock | 01/31/2017 | X | 81,673(2) | A | (2) | 2,983,504 | D | |||
Common Stock | 01/31/2017 | P | 50,000(3) | A | $15 | 3,033,504 | 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 | ||||||||
Series B Preferred Stock | (1) | 01/31/2017 | C | 1,428,571 | (1) | (1) | Common Stock | 1,428,571 | $0.00 | 0 | D | ||||
Series C Preferred Stock | (1) | 01/31/2017 | C | 486,820 | (1) | (1) | Common Stock | 486,820 | $0.00 | 0 | D | ||||
Series C-1 Preferred Stock | (1) | 01/31/2017 | C | 312,986 | (1) | (1) | Common Stock | 312,986 | $0.00 | 0 | D | ||||
Series D Preferred Stock | (1) | 01/31/2017 | C | 673,454 | (1) | (1) | Common Stock | 673,454 | $0.00 | 0 | D | ||||
Series C Preferred Stock Warrant (Right to Buy) | $4.55 | 01/31/2017 | X | 117,235 | (2) | 11/04/2018 | Common Stock | 117,235 | $0.00 | 0 | D |
Explanation of Responses: |
1. The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. |
2. Immediately prior to the IPO Closing, the warrant became exercisable for shares of common stock. The shares acquired upon exercise of the warrant were acquired through a net exercise procedure in accordance with the terms of the warrant and did not involve any sale of shares. All shares received upon such exercise are subject to a lock-up agreement between the Reporting Person and the underwriters. |
3. Represents a purchase from the underwriters in the Issuer's initial public offering. |
Remarks: |
Novo A/S is a Danish limited liability company. The board of directors of Novo A/S (the "Novo Board"), currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard and Per Wold-Olsen, has shared investment and voting control over the securities of the Issuer held by Novo A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares. |
/s/ Peter Haahr, Chief Financial Officer of Novo A/S | 01/31/2017 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |