Sandell Scott D's Form 4 filing
Arcellx, Inc. (ACLX) · filed Feb 9, 2022
- Accession no.
- 0001209191-22-008192
- Filed
- Feb 9, 2022, 6:18 PM ET
- 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 $23.7M. 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 |
|---|---|
| Sandell Scott DCIK 0001237289 | 10% Owner |
| Baskett ForestCIK 0001277631 | 10% Owner |
| Sonsini Peter W.CIK 0001559807 | 10% Owner |
| Florence Anthony A. Jr.CIK 0001559827 | 10% Owner |
| New Enterprise Associates 15, L.P.CIK 0001629794 | 10% Owner |
| Makhzoumi MohamadCIK 0001630226 | 10% Owner |
| NEA Partners 15, L.P.CIK 0001640031 | 10% Owner |
| Nea 15 GP, LLCCIK 0001640033 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2022 | Common Stock | CConversionAcquired | +4,849,429 | $0.00F1 | $0 | 4,849,429 | Direct | |
| Feb 8, 2022 | Common Stock | PPurchaseAcquired | +1,583,333 | $15.00 | +$23,749,995 | 6,432,762 | Direct |
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 | −1,545,307 | $0.00F1 | $0 | 0 | Direct | |
| Feb 8, 2022 | Common Stock | CConversionDisposed | −872,915 | $0.00F1 | $0 | 0 | Direct | |
| Feb 8, 2022 | Common Stock | CConversionDisposed | −698,421 | $0.00F1 | $0 | 0 | Direct | |
| Feb 8, 2022 | Common Stock | CConversionDisposed | −1,732,786 | $0.00F1 | $0 | 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
All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date.
Referenced by the price of 1 transaction in Table I and 4 transactions in Table II.