Akkaraju Srinivas's Form 4/A amendment
AmendedAlumis Inc.ALMS · filed Aug 27, 2024
- Accession no.
- 0001415889-24-022292
- Filed
- Aug 27, 2024
- Trade date
- Jul 1, 2024
- Filing delay
- 57 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jul 1, 2024
This filing lists 1 non-derivative transaction. It carries over 4 transactions from the original filing that it did not restate. Open-market purchases total $25.0M. It was filed 57 days after the trade.
This amendment restates part of 0001415889-24-018603 (filed Jul 1, 2024). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Akkaraju SrinivasCIK 0001253170 | 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 1, 2024 | Common Stock | PPurchaseAcquired | +1,562,500 | $16.00 | +$25,000,000 | 3,266,498 | Indirect |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001415889-24-018603 (filed Jul 1, 2024).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2024 | Class A Common Stock | CConversionAcquired | +1,703,998 | –F1 | – | 1,703,998 | Indirect | |
| Jul 1, 2024 | Class A Common Stock | DReturned to the companyDisposed | −1,703,998 | –F3 | – | 0 | Indirect | |
| Jul 1, 2024 | Common Stock | AGrant or awardAcquired | +1,703,998 | –F3 | – | 1,703,998 | Indirect |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2024 | Class A Common Stock | CConversionDisposed | −1,703,998 | $0.00 | $0 | 0 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
Upon closing of the Issuer's initial public offering, each share of Series C Preferred Stock (the "Preferred Stock") automatically converted on a 4.675-to-one basis into shares of Class A Common Stock. The Preferred Stock had no expiration date.
Referenced by the price of 1 transaction in Table I.
- F3
Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock.
Referenced by the price of 2 transactions in Table I.
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
The original Form 4 inadvertently omitted the purchase of shares by Samsara in the Issuer's initial public offering.
- F2
Shares are held directly by Samsara BioCapital, L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara GP") is the general partner of Samsara LP. The Reporting Person, as the managing member of Samsara GP, shares voting and investment authority over the shares held by Samsara LP. The Reporting Person disclaims beneficial ownership in these shares except to the extent of his pecuniary interest therein.