George Simeon's Form 4 filing
Zenas BioPharma, Inc. (ZBIO) · filed Sep 16, 2024
- Accession no.
- 0000950170-24-106978
- Filed
- Sep 16, 2024, 8:51 PM ET
- Trade date
- Sep 16, 2024
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market purchases total $38.0M. It was filed on the trade date.
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 |
|---|---|
| George SimeonCIK 0001595117 | 10% Owner |
| Sr One Capital Management, LLCCIK 0001853723 | 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 16, 2024 | Common Stock | CConversionAcquired | +1,505,388 | –F1 | – | 1,505,388 | Indirect | |
| Sep 16, 2024 | Common Stock | PPurchaseAcquired | +441,176 | $17.00 | +$7,499,992 | 1,946,564 | Indirect | |
| Sep 16, 2024 | Common Stock | CConversionAcquired | +501,796 | –F1 | – | 501,796 | Indirect | |
| Sep 16, 2024 | Common Stock | PPurchaseAcquired | +1,352,942 | $17.00 | +$23,000,014 | 1,854,738 | Indirect | |
| Sep 16, 2024 | Common Stock | CConversionAcquired | +669,061 | –F1 | – | 669,061 | Indirect | |
| Sep 16, 2024 | Common Stock | PPurchaseAcquired | +441,176 | $17.00 | +$7,499,992 | 1,110,237 | 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 16, 2024 | Common Stock | CConversionDisposed | −1,505,388 | –F1 | – | 0 | Indirect | |
| Sep 16, 2024 | Common Stock | CConversionDisposed | −501,796 | –F1 | – | 0 | Indirect | |
| Sep 16, 2024 | Common Stock | CConversionDisposed | −669,061 | –F1 | – | 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
On September 16, 2024, the shares of Series C Convertible Preferred Stock automatically converted into shares of Common Stock on a 8.6831-for-1 basis without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date.
Referenced by the price of 3 transactions in Table I and 3 transactions in Table II.