Novo Holdings A/S's Form 4 filing
Arcellx, Inc. (ACLX) · filed Feb 9, 2022
- Accession no.
- 0001209191-22-008145
- Filed
- Feb 9, 2022
- Trade date
- Feb 8, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 4 derivative transactions. Open-market purchases total $12.5M. It was filed 1 day 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 |
|---|---|
| Novo Holdings A/SCIK 0001388325 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2022 | COMMON STOCK | CConversionDisposed | −1,550,309 | –F1 | – | 0 | Direct | |
| Feb 8, 2022 | COMMON STOCK | CConversionDisposed | −666,651 | –F1 | – | 0 | Direct | |
| Feb 8, 2022 | COMMON STOCK | CConversionDisposed | −533,389 | –F1 | – | 0 | Direct | |
| Feb 8, 2022 | COMMON STOCK | CConversionDisposed | −433,196 | –F1 | – | 0 | Direct |
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 A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date.
Referenced by the price of 1 transaction in Table I and 4 transactions in Table II.
- F2
Represents a purchase from the underwriters in the Issuer's initial public offering.
Referenced by the price of 1 transaction in Table I.