George Simeon's Form 4 filing
Arcellx, Inc. (ACLX) · filed Feb 10, 2022
- Accession no.
- 0001209191-22-008281
- Filed
- Feb 10, 2022, 8:41 AM ET
- Trade date
- Feb 8, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 5 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 |
|---|---|
| George SimeonCIK 0001595117 | 10% Owner |
| SR One Capital Fund I Aggregator LPCIK 0001848319 | 10% Owner |
| Sr One Capital Management, LLCCIK 0001853723 | 10% Owner |
| Sr One Capital Partners I, LPCIK 0001853724 | 10% Owner |
| SR One Co-Invest II, LLCCIK 0001867644 | 10% Owner |
| SR One Co-Invest II Manager, LLCCIK 0001910324 | 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 | +1,550,309 | –F1 | – | 1,550,309 | Indirect | |
| Feb 8, 2022 | Common Stock | CConversionAcquired | +666,651 | –F1 | – | 2,216,960 | Indirect | |
| Feb 8, 2022 | Common Stock | CConversionAcquired | +533,389 | –F1 | – | 2,750,349 | Indirect | |
| Feb 8, 2022 | Common Stock | CConversionAcquired | +649,795 | –F1 | – | 3,400,144 | Indirect | |
| Feb 8, 2022 | Common Stock | PPurchaseAcquired | +66,667 | $15.00 | +$1,000,005 | 3,466,811 | Indirect | Duplicate filing |
| Feb 8, 2022 | Common Stock | CConversionAcquired | +433,196 | –F1 | – | 433,196 | Indirect | |
| Feb 8, 2022 | Common Stock | PPurchaseAcquired | +1,600,000 | $15.00 | +$24,000,000 | 2,033,196 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2022 | Common Stock | CConversionDisposed | −1,550,309 | –F1 | – | 0 | Indirect | |
| Feb 8, 2022 | Common Stock | CConversionDisposed | −666,651 | –F1 | – | 0 | Indirect | |
| Feb 8, 2022 | Common Stock | CConversionDisposed | −533,389 | –F1 | – | 0 | Indirect | |
| Feb 8, 2022 | Common Stock | CConversionDisposed | −649,795 | –F1 | – | 0 | Indirect | |
| Feb 8, 2022 | Common Stock | CConversionDisposed | −433,196 | –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
All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date.
Referenced by the price of 5 transactions in Table I and 5 transactions in Table II.