Hillhouse Investment Management, Ltd.'s Form 4 filing
ArriVent BioPharma, Inc.AVBP · filed Feb 1, 2024
- Accession no.
- 0000902664-24-000903
- Filed
- Feb 1, 2024, 4:47 PM ET
- Trade date
- Jan 30, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market purchases total $10.0M. 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 |
|---|---|
| Hillhouse Investment Management, Ltd.CIK 0001510589 | 10% Owner |
| HHLR Advisors, Ltd.CIK 0001762304 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 30, 2024 | Common Stock | CConversionAcquired | +3,616,041 | –F1 | – | 3,616,041 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionAcquired | +313,076 | –F1 | – | 3,929,117 | Indirect | |
| Jan 30, 2024 | Common Stock | PPurchaseAcquired | +555,555 | $18.00 | +$9,999,990 | 4,484,672 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 30, 2024 | Common Stock | CConversionDisposed | −3,616,041 | $0.00 | $0 | 0 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionDisposed | −313,076 | $0.00 | $0 | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock converted into shares of common stock on a 15.21-for-1 basis.
Referenced by the price of 2 transactions in Table I.