RA Capital Healthcare Fund LP's Form 4 filing
Artiva Biotherapeutics, Inc. (ARTV) · filed Jul 24, 2024
- Accession no.
- 0001415889-24-020047
- Filed
- Jul 24, 2024, 4:27 PM ET
- Trade date
- Jul 22, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 7 non-derivative transactions and 5 derivative transactions. Open-market purchases total $100.0M. 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 |
|---|---|
| RA Capital Healthcare Fund LPCIK 0001315082 | Director, 10% Owner |
| Ra Capital Management, L.P.CIK 0001346824 | Director, 10% Owner |
| Kolchinsky PeterCIK 0001384859 | Director, 10% Owner |
| Shah Rajeev M.CIK 0001619841 | Director, 10% Owner |
| RA Capital Nexus Fund, L.P.CIK 0001780117 | Director |
| RA Capital Nexus Fund III, L.P.CIK 0001883840 | Director |
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 22, 2024 | Common Stock | CConversionAcquired | +725,391 | –F1 | – | 725,391 | Indirect | |
| Jul 22, 2024 | Common Stock | CConversionAcquired | +264,571 | –F1 | – | 264,571 | Indirect | |
| Jul 22, 2024 | Common Stock | CConversionAcquired | +68,320 | –F1 | – | 68,320 | Indirect | |
| Jul 22, 2024 | Common Stock | JOtherAcquired | +323,181 | $10.20 | +$3,296,446.2 | 1,048,572 | Indirect | |
| Jul 22, 2024 | Common Stock | JOtherAcquired | +138,506 | $10.20 | +$1,412,761.2 | 138,506 | Indirect | |
| Jul 22, 2024 | Common Stock | PPurchaseAcquired | +7,645,007 | $12.00 | +$91,740,084 | 8,693,579 | Indirect | |
| Jul 22, 2024 | Common Stock | PPurchaseAcquired | +688,326 | $12.00 | +$8,259,912 | 826,832 | 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 22, 2024 | Common Stock | CConversionDisposed | −564,372 | –F1 | – | 0 | Indirect | |
| Jul 22, 2024 | Common Stock | CConversionDisposed | −210,898 | –F1 | – | 0 | Indirect | |
| Jul 22, 2024 | Common Stock | CConversionDisposed | −68,320 | –F1 | – | 0 | Indirect | |
| Jul 22, 2024 | Common Stock | CConversionDisposed | −161,019 | –F1 | – | 0 | Indirect | |
| Jul 22, 2024 | Common Stock | CConversionDisposed | −53,673 | –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
Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date.
Referenced by the price of 3 transactions in Table I and 5 transactions in Table II.
Remarks
Laura Stoppel, a Principal of the Adviser, serves on the Issuer's board of directors