Filing Details
- Accession Number:
- 0001209191-22-008281
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-02-10 08:41:09
- Reporting Period:
- 2022-02-08
- Accepted Time:
- 2022-02-10 08:41:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1786205 | Arcellx Inc. | ACLX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1595117 | Simeon George | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1848319 | Sr One Capital Fund I Aggregator Lp | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1853723 | Sr One Capital Management, Llc | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1853724 | Sr One Capital Partners I, Lp | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1867644 | Sr One Co-Invest Ii, Llc | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1910324 | Sr One Co-Invest Ii Manager, Llc | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | 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 | 1,550,309 | $0.00 | 1,550,309 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2022-02-08 | 666,651 | $0.00 | 2,216,960 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2022-02-08 | 533,389 | $0.00 | 2,750,349 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2022-02-08 | 649,795 | $0.00 | 3,400,144 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2022-02-08 | 66,667 | $15.00 | 3,466,811 | No | 4 | P | Indirect | See Footnote |
| Common Stock | Acquisiton | 2022-02-08 | 433,196 | $0.00 | 433,196 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2022-02-08 | 1,600,000 | $15.00 | 2,033,196 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
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 | 1,550,309 | $0.00 | 1,550,309 | $0.00 |
| Common Stock | Series B-1 Preferred Stock | Disposition | 2022-02-08 | 666,651 | $0.00 | 666,651 | $0.00 |
| Common Stock | Series B-2 Preferred Stock | Disposition | 2022-02-08 | 533,389 | $0.00 | 533,389 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2022-02-08 | 649,795 | $0.00 | 649,795 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2022-02-08 | 433,196 | $0.00 | 433,196 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date.
- The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
- SR One Capital Fund I Aggregator, LP purchased 66,667 shares of Common Stock of the Issuer in connection with the Issuer's public offering.
- The reported securities are held directly by SR One Co-Invest II, LLC. SR One Co-Invest Manager II, LLC is the managing member of SR One Co-Invest II, LLC, and SR One Capital Management, LLC is the managing member of SR One Co-Invest Manager II, LLC. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Co-Invest Manager II, LLC, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
- SR One Co-Invest II, LLC purchased 1,600,000 shares of Common Stock of the Issuer in connection with the Issuer's public offering.
Billionaire Hedge Funds
