Filing Details
- Accession Number:
- 0001209191-17-006695
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-01 16:22:30
- Reporting Period:
- 2017-01-31
- Filing Date:
- 2017-02-01
- Accepted Time:
- 2017-02-01 16:22:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1370053 | Anaptysbio Inc | ANAB | Pharmaceutical Preparations (2834) | 203828755 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1388325 | A/S Novo | Tuborg Havnevej 19 Hellerup G7 2900 | 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 | 2017-01-31 | 1,428,571 | $0.00 | 1,428,571 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2017-01-31 | 486,820 | $0.00 | 1,915,391 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2017-01-31 | 312,986 | $0.00 | 2,228,377 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2017-01-31 | 673,454 | $0.00 | 2,901,831 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2017-01-31 | 81,673 | $0.00 | 2,983,504 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2017-01-31 | 50,000 | $15.00 | 3,033,504 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | X | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Preferred Stock | Disposition | 2017-01-31 | 1,428,571 | $0.00 | 1,428,571 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2017-01-31 | 486,820 | $0.00 | 486,820 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2017-01-31 | 312,986 | $0.00 | 312,986 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2017-01-31 | 673,454 | $0.00 | 673,454 | $0.00 |
| Common Stock | Series C Preferred Stock Warrant (Right to Buy) | Disposition | 2017-01-31 | 117,235 | $0.00 | 117,235 | $4.55 |
| 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 | ||
| 0 | 2018-11-04 | No | 4 | X | Direct |
Footnotes
- 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.
- 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.
- Represents a purchase from the underwriters in the Issuer's initial public offering.
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