Viking Global Investors LP's Form 4 filing
Rallybio Corp (RLYB) · filed Aug 2, 2021
- Accession no.
- 0001387131-21-007995
- Filed
- Aug 2, 2021, 8:40 PM ET
- Trade date
- Jul 29, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $10.5M. It was filed 4 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 |
|---|---|
| Viking Global Investors LPCIK 0001103804 | 10% Owner |
| Halvorsen Ole AndreasCIK 0001133006 | 10% Owner |
| Ott David C.CIK 0001621842 | 10% Owner |
| Viking Global Opportunities Portfolio GP LLCCIK 0001629472 | 10% Owner |
| Viking Global Opportunities GP LLCCIK 0001629476 | 10% Owner |
| Viking Global Opportunities Illiquid Investments Sub-Master LPCIK 0001629482 | 10% Owner |
| Shabet Rose SharonCIK 0001711393 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 29, 2021 | Common Stock | CConversionAcquired | +3,388,777 | –F5 | – | 3,388,777 | Indirect | |
| Jul 29, 2021 | Common Stock | PPurchaseAcquired | +806,000 | $13.00 | +$10,478,000 | 4,194,777 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 29, 2021 | Common Stock | CConversionDisposed | −3,388,777 | –F5 | – | 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.
- F5
The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
Remarks
6. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. 7. Scott M. Hendler is signing on behalf of Mr. Halvorsen, Mr. Ott and Ms. Shabet, each individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL OPPORTUNITIES GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES PORTFOLIO GP LLC, and VIKING GLOBAL OPPORTUNITIES ILLIQUID INVESTMENTS SUB-MASTER LP, pursuant to authorization and designation letters dated February 9, 2021, which were filed with the Securities and Exchange Commission on June 7, 2021.