Viking Global Investors LP 的 Form 4 申報
RayzeBio, Inc.（RYZB），2023/9/21 申報
- 申報編號
- 0000905148-23-000959
- 申報時間
- 2023/9/21 17:00 ET
- 交易日
- 2023/9/19
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 6 筆非衍生性交易、4 筆衍生性交易。公開市場買進合計 $2,500 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Viking Global Investors LPCIK 0001103804 | 持股 10% 以上大股東 |
| Halvorsen Ole AndreasCIK 0001133006 | 持股 10% 以上大股東 |
| Ott David C.CIK 0001621842 | 持股 10% 以上大股東 |
| Shabet Rose SharonCIK 0001711393 | 持股 10% 以上大股東 |
| Viking Global Opportunities Parent GP LLCCIK 0001886738 | 持股 10% 以上大股東 |
| Viking Global Opportunities Drawdown Portfolio GP LLCCIK 0001993522 | 持股 10% 以上大股東 |
| Viking Global Opportunities Drawdown GP LLCCIK 0001993658 | 持股 10% 以上大股東 |
| Viking Global Opportunities Drawdown (Aggregator) LPCIK 0001993659 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/9/19 | Common Stock | C轉換取得 | +864,509 | –F1 | – | 864,509 | 間接 | 重複申報 |
| 2023/9/19 | Common Stock | C轉換取得 | +494,687 | –F2 | – | 1,359,196 | 間接 | 重複申報 |
| 2023/9/19 | Common Stock | C轉換取得 | +2,609,392 | –F3 | – | 3,968,588 | 間接 | 重複申報 |
| 2023/9/19 | Common Stock | P買進取得 | +930,556 | $18.00 | +$16,750,008 | 4,899,144 | 間接 | 重複申報 |
| 2023/9/19 | Common Stock | C轉換取得 | +1,285,223 | –F3 | – | 1,285,223 | 間接 | 重複申報 |
| 2023/9/19 | Common Stock | P買進取得 | +458,333 | $18.00 | +$8,249,994 | 1,743,556 | 間接 | 重複申報 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F2
Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F3
Each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series D Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series D Preferred Stock had no expiration date.
表 I 有 2 筆、表 II 有 2 筆交易的價格引用這則附註。
備註
(9) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. Because no more than 10 reporting persons can file any one Form 4 through the SEC's EDGAR system, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund have jointly filed with the other Reporting Persons on a separate Form 4 filing submitted on the same day hereof. (10) 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 PARENT GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES DRAWDOWN GP LLC, VIKING GLOBAL OPPORTUNITIES DRAWDOWN PORTFOLIO GP LLC and VIKING GLOBAL OPPORTUNITIES DRAWDOWN (AGGREGATOR) LP, pursuant to authorization and designation letters dated February 9, 2021, which were filed with the Securities and Exchange Commission on June 7, 2021.