Viking Global Investors LP's Form 4 filing
RayzeBio, Inc. (RYZB) · filed Sep 21, 2023
- Accession no.
- 0000905148-23-000959
- Filed
- Sep 21, 2023, 5:00 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 |
| Shabet Rose SharonCIK 0001711393 | 10% Owner |
| Viking Global Opportunities Parent GP LLCCIK 0001886738 | 10% Owner |
| Viking Global Opportunities Drawdown Portfolio GP LLCCIK 0001993522 | 10% Owner |
| Viking Global Opportunities Drawdown GP LLCCIK 0001993658 | 10% Owner |
| Viking Global Opportunities Drawdown (Aggregator) LPCIK 0001993659 | 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 | Duplicate filing |
| Sep 19, 2023 | Common Stock | CConversionAcquired | +494,687 | –F2 | – | 1,359,196 | Indirect | Duplicate filing |
| Sep 19, 2023 | Common Stock | CConversionAcquired | +2,609,392 | –F3 | – | 3,968,588 | Indirect | Duplicate filing |
| Sep 19, 2023 | Common Stock | PPurchaseAcquired | +930,556 | $18.00 | +$16,750,008 | 4,899,144 | Indirect | Duplicate filing |
| Sep 19, 2023 | Common Stock | CConversionAcquired | +1,285,223 | –F3 | – | 1,285,223 | Indirect | Duplicate filing |
| Sep 19, 2023 | Common Stock | PPurchaseAcquired | +458,333 | $18.00 | +$8,249,994 | 1,743,556 | Indirect | Duplicate filing |
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 | Duplicate filing |
| Sep 19, 2023 | Common Stock | CConversionDisposed | −494,687 | –F2 | – | 0 | Indirect | Duplicate filing |
| Sep 19, 2023 | Common Stock | CConversionDisposed | −2,609,392 | –F3 | – | 0 | Indirect | Duplicate filing |
| Sep 19, 2023 | Common Stock | CConversionDisposed | −1,285,223 | –F3 | – | 0 | Indirect | Duplicate filing |
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, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund 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 DRAWDOWN GP LLC, VIKING GLOBAL OPPORTUNITIES DRAWDOWN PORTFOLIO GP LLC and VIKING GLOBAL OPPORTUNITIES DRAWDOWN (AGGREGATOR) LP, pursuant to authorization and designation letters dated February 9, 2021, which were filed with the Securities and Exchange Commission on June 7, 2021.