Perceptive Advisors LLC's Form 4 filing
LianBio (LIANY) · filed Nov 3, 2021
- Accession no.
- 0000899243-21-042807
- Filed
- Nov 3, 2021, 6:59 PM ET
- Trade date
- Nov 1-3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 5 derivative transactions. Open-market purchases total $3.21M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Perceptive Advisors LLCCIK 0001224962 | Director, 10% Owner |
| Edelman JosephCIK 0001164426 | 10% Owner |
| Perceptive Life Sciences Master Fund LtdCIK 0001249675 | 10% Owner |
| Perceptive Xontogeny Venture Fund, LPCIK 0001757940 | 10% Owner |
| LEV LB Holdings, LPCIK 0001789443 | 10% Owner |
| Perceptive Venture Advisors, LLCCIK 0001890130 | 10% Owner |
| LEV LB Holdings GP, LLCCIK 0001890132 | 10% Owner |
| C2 Life Sciences LLCCIK 0001890152 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Ordinary Shares | PPurchaseAcquired | +120,000 | $15.50 | +$1,860,000 | 7,153,885 | Indirect | |
| Nov 2, 2021 | Ordinary Shares | PPurchaseAcquired | +100,000 | $13.50 | +$1,350,000 | 7,253,885 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionAcquired | +3,715,510 | – | – | 10,969,395 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionAcquired | +14,619,500 | – | – | 25,588,895 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionAcquired | +14,619,500 | – | – | 21,653,385 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionAcquired | +2,923,000 | – | – | 4,330,675 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionAcquired | +2,477,005 | – | – | 2,477,005 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Ordinary Shares | CConversionDisposed | −3,715,510 | – | – | 0 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionDisposed | −14,619,500 | – | – | 0 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionDisposed | −14,619,500 | – | – | 0 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionDisposed | −2,923,900 | – | – | 0 | Indirect | |
| Nov 3, 2021 | Ordinary Shares | CConversionDisposed | −2,477,005 | – | – | 0 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.