BIOS Fund II, LP's Form 4 filing
IN8BIO, Inc. (INAB) · filed Oct 11, 2024
- Accession no.
- 0001104659-24-108139
- Filed
- Oct 11, 2024, 6:12 PM ET
- Trade date
- Oct 4, 2024
- Filing delay
- 7 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 4 derivative transactions. It was filed 7 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| BIOS Fund II, LPCIK 0001714576 | 10% Owner |
| BIOS Fund II QP, LPCIK 0001716869 | 10% Owner |
| BIOS Fund II NT, LPCIK 0001728851 | 10% Owner |
| BIOS Incysus Co-Invest I, LPCIK 0001740029 | 10% Owner |
| Fletcher Aaron G.L.CIK 0001789490 | 10% Owner |
| BIOS Advisors GP, LLCCIK 0001813844 | 10% Owner |
| BIOS Capital Management, LPCIK 0001813845 | 10% Owner |
| Bios Clinical Opportunity Fund, LPCIK 0001988639 | 10% Owner |
| Bios Equity COF, LPCIK 0002000747 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 4, 2024 | Common Stock | PPurchaseAcquired | +574,241 | –F1 | – | 1,283,281 | Indirect | |
| Oct 4, 2024 | Common Stock | PPurchaseAcquired | +709,040 | –F1 | – | 709,040 | Indirect | |
| Oct 4, 2024 | Common Stock | DReturned to the companyAcquired | +574,241 | –F2 | – | 0 | Indirect | |
| Oct 4, 2024 | Common Stock | AGrant or awardAcquired | +574,241 | –F2 | – | 574,241 | 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
Pursuant to a Securities Purchase Agreement (the "Purchase Agreement"), dated as of September 30, 2024, between In8bio, Inc. (the "Issuer"), Bios Clinical Opportunity Fund, LP ("Bios COF Fund") and the Issuer, Bios COF purchased from the Issuer in a private placement 709,040 units at a price of $0.3949 per unit, each unit consisting of (i) one pre-funded warrant (the "Pre-Funded Warrants") to purchase one share of Common Stock and (ii) one Series C warrant (the "Series C Warrants") to purchase one share of Common Stock. The Pre-Funded Warrants have an exercise price of $0.0001 per share, will be exercisable immediately and will be exercisable until the Pre-Funded Warrant is exercised in full.
Referenced by the price of 2 transactions in Table II.
- F2
In connection with the entry into the Purchase Agreement, the Series A warrants initially issued to Bios COF on December 13, 2023 were amended to reduce the exercise price of such warrants, which constitutes a cancellation of the old warrants and a grant of the new Series A warrants. In connection with such amendment, the termination date of such warrants was extended to October 4, 2024.
Referenced by the price of 2 transactions in Table II.
Remarks
This Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting persons. The other Form 4 relating to the same event is being filed by Mr. Kreis as the designated filer.