Viking Global Investors LP's Form 4 filing
RayzeBio, Inc. (RYZB) · filed Sep 21, 2023
- Accession no.
- 0000905148-23-000958
- Filed
- Sep 21, 2023, 4:59 PM ET
- Trade date
- Sep 19, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 4 derivative transactions. Open-market purchases total $25.0M. 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 |
|---|---|
| Viking Global Investors LPCIK 0001103804 | 10% Owner |
| Halvorsen Ole AndreasCIK 0001133006 | 10% Owner |
| Ott David C.CIK 0001621842 | 10% Owner |
| Viking Global Opportunities Portfolio GP LLCCIK 0001629472 | 10% Owner |
| Viking Global Opportunities GP LLCCIK 0001629476 | 10% Owner |
| Viking Global Opportunities Illiquid Investments Sub-Master LPCIK 0001629482 | 10% Owner |
| Shabet Rose SharonCIK 0001711393 | 10% Owner |
| Viking Global Opportunities Parent GP LLCCIK 0001886738 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 19, 2023 | Common Stock | CConversionAcquired | +864,509 | –F1 | – | 864,509 | Indirect | |
| Sep 19, 2023 | Common Stock | CConversionAcquired | +494,687 | –F2 | – | 1,359,196 | Indirect | |
| Sep 19, 2023 | Common Stock | CConversionAcquired | +2,609,392 | –F3 | – | 3,968,588 | Indirect | |
| Sep 19, 2023 | Common Stock | PPurchaseAcquired | +930,556 | $18.00 | +$16,750,008 | 4,899,144 | Indirect | |
| Sep 19, 2023 | Common Stock | CConversionAcquired | +1,285,223 | –F3 | – | 1,285,223 | Indirect | |
| Sep 19, 2023 | Common Stock | PPurchaseAcquired | +458,333 | $18.00 | +$8,249,994 | 1,743,556 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 19, 2023 | Common Stock | CConversionDisposed | −864,509 | –F1 | – | 0 | Indirect | |
| Sep 19, 2023 | Common Stock | CConversionDisposed | −494,687 | –F2 | – | 0 | Indirect | |
| Sep 19, 2023 | Common Stock | CConversionDisposed | −2,609,392 | –F3 | – | 0 | Indirect | |
| Sep 19, 2023 | Common Stock | CConversionDisposed | −1,285,223 | –F3 | – | 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
Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F2
Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F3
Each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series D Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series D Preferred Stock had no expiration date.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
Remarks
(9) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. Because no more than 10 reporting persons can file any one Form 4 through the SEC's EDGAR system, VGOD GP, VGOD Portfolio GP and VGOD have jointly filed with the other Reporting Persons on a separate Form 4 filing submitted on the same day hereof. (10) Scott M. Hendler is signing on behalf of Mr. Halvorsen, Mr. Ott and Ms. Shabet, each individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL OPPORTUNITIES PARENT GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES GP LLC, VIKING GLOBAL OPPORTUNITIES PORTFOLIO GP LLC and VIKING GLOBAL OPPORTUNITIES ILLIQUID INVESTMENTS SUB-MASTER LP, pursuant to authorization and designation letters dated February 9, 2021, which were filed with the Securities and Exchange Commission on June 7, 2021.