Biotechnology Value Fund L P 的 Form 4 申報
Eledon Pharmaceuticals, Inc.ELDN，2023/5/9 申報
- 申報編號
- 0000921895-23-001098
- 申報時間
- 2023/5/9 20:25 ET
- 交易日
- 2023/5/5
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 3 筆非衍生性交易、6 筆衍生性交易。交易後 4 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 |
|---|---|
| Biotechnology Value Fund L PCIK 0000918923 | 其他：See Explanation of Responses |
| BVF Partners L PCIK 0001055947 | 持股 10% 以上大股東 |
| BVF IncCIK 0001056807 | 持股 10% 以上大股東 |
| Biotechnology Value Fund II LPCIK 0001102444 | 其他：See Explanation of Responses |
| Lampert Mark NCIK 0001233840 | 持股 10% 以上大股東 |
| Biotechnology Value Trading Fund OS LPCIK 0001660683 | 其他：See Explanation of Responses |
| BVF Partners OS Ltd.CIK 0001660684 | 其他：See Explanation of Responses |
| BVF I GP LLCCIK 0001803805 | 其他：See Explanation of Responses |
| BVF II GP LLCCIK 0001803806 | 其他：See Explanation of Responses |
| BVF GP Holdings LLCCIK 0001803809 | 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。
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。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/5/5 | Common Stock, $0.001 par value | P買進取得 | +2,028,645 | –F2,F4 | – | 2,028,645 | 直接 | |
| 2023/5/5 | Common Stock, $0.001 par value | P買進取得 | +1,609,063 | –F2,F4 | – | 1,609,063 | 直接 | |
| 2023/5/5 | Common Stock, $0.001 par value | P買進取得 | +165,950 | –F2,F4 | – | 165,950 | 直接 | |
| 2023/5/5 | Common Stock, $0.001 par value | P買進取得 | +3,084,090 | –F2,F5 | – | 3,084,090 | 直接 | |
| 2023/5/5 | Common Stock, $0.001 par value | P買進取得 | +2,446,209 | –F2,F5 | – | 2,446,209 | 直接 | |
| 2023/5/5 | Common Stock, $0.001 par value | P買進取得 | +252,291 | –F2,F5 | – | 252,291 | 直接 |
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。
- F2
The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).
表 I 有 3 筆、表 II 有 6 筆交易的價格引用這則附註。
- F3
Shares of Common Stock purchased in the 2023 Private Placement.
表 I 有 3 筆交易的價格引用這則附註。
- F4
2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.
表 II 有 3 筆交易的價格引用這則附註。
- F5
2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.
表 II 有 3 筆交易的價格引用這則附註。