BIOS Fund I, LP 的 Form 4 申報
Actuate Therapeutics, Inc.（ACTU），2024/8/14 申報
- 申報編號
- 0001104659-24-089819
- 申報時間
- 2024/8/14 20:44 ET
- 交易日
- 2024/8/12-8/14
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 30 筆非衍生性交易、26 筆衍生性交易。公開市場買進合計 $400.0 萬。公開市場賣出合計 $22.5 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 |
|---|---|
| BIOS Fund I, LPCIK 0001697316 | 董事、持股 10% 以上大股東 |
| BIOS Fund I QP, LPCIK 0001700297 | 董事、持股 10% 以上大股東 |
| BIOS Fund II, LPCIK 0001714576 | 董事、持股 10% 以上大股東 |
| BIOS Fund II QP, LPCIK 0001716869 | 董事、持股 10% 以上大股東 |
| BIOS Fund II NT, LPCIK 0001728851 | 董事、持股 10% 以上大股東 |
| Cavu Management, LPCIK 0001813270 | 董事、持股 10% 以上大股東 |
| Cavu Advisors, LLCCIK 0001813310 | 董事、持股 10% 以上大股東 |
| Bios Equity Partners II, LPCIK 0001813313 | 董事、持股 10% 以上大股東 |
| Bios Equity Partners, LPCIK 0001813314 | 董事、持股 10% 以上大股東 |
| Kreis Leslie W.CIK 0001813316 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2024/8/14 | Common Stock | C轉換取得 | +884,427 | –F1 | – | 884,427 | 間接 | |
| 2024/8/14 | Common Stock | P買進取得 | +375,000 | $8.00 | +$3,000,000 | 1,259,427 | 間接 | |
| 2024/8/14 | Common Stock | P買進取得 | +125,000 | $8.00 | +$1,000,000 | 125,000 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +525,797 | –F5 | – | 525,797 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +307,538 | –F5 | – | 307,538 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +141,457 | –F6 | – | 141,457 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +462,073 | –F6 | – | 462,073 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +61,857 | –F6 | – | 61,857 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +153,702 | –F6 | – | 153,702 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +54,032 | –F7 | – | 195,489 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +176,499 | –F7 | – | 638,572 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +23,628 | –F7 | – | 85,485 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +147,047 | –F7 | – | 300,749 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +101,900 | –F8 | – | 297,389 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +332,867 | –F8 | – | 971,439 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +44,559 | –F8 | – | 130,044 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +309,589 | –F9 | – | 309,589 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +2,022,029 | –F9 | – | 2,022,029 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +326,547 | –F9 | – | 326,547 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +2,094,650 | –F9 | – | 2,094,650 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +74,202 | –F10 | – | 383,791 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +484,638 | –F10 | – | 2,506,667 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +78,267 | –F10 | – | 404,814 | 間接 | |
| 2024/8/14 | Common Stock | C轉換取得 | +573,394 | –F10 | – | 573,394 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權取得 | +8,068 | $5.27 | +$42,518.36 | 305,457 | 間接 | |
| 2024/8/14 | Common Stock | S賣出處分 | −5,314 | $9.00 | −$47,826 | 300,143 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權取得 | +26,355 | $5.27 | +$138,890.85 | 997,794 | 間接 | |
| 2024/8/14 | Common Stock | S賣出處分 | −17,361 | $9.00 | −$156,249 | 980,433 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權取得 | +3,528 | $5.27 | +$18,592.56 | 133,572 | 間接 | |
| 2024/8/14 | Common Stock | S賣出處分 | −2,324 | $9.00 | −$20,916 | 131,248 | 間接 |
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 |
|---|---|---|---|---|---|---|---|---|
| 2024/8/14 | Common Stock | C轉換處分 | −884,427 | –F1 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −525,797 | –F5 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −307,538 | –F5 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −141,457 | –F6 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −462,073 | –F6 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −61,857 | –F6 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −153,702 | –F6 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −54,032 | –F7 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −176,499 | –F7 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −23,628 | –F7 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −147,047 | –F7 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −101,900 | –F8 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −332,867 | –F8 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −44,559 | –F8 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −309,589 | –F9 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −2,022,029 | –F9 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −326,547 | –F9 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −2,094,650 | –F9 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −74,202 | –F10 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −484,638 | –F10 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −78,267 | –F10 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | C轉換處分 | −573,394 | –F10 | – | 0 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權處分 | −8,068 | $0.00 | $0 | 0 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權處分 | −26,355 | $0.00 | $0 | 0 | 間接 | |
| 2024/8/14 | Common Stock | X行使價內選擇權處分 | −3,528 | $0.00 | $0 | 0 | 間接 | |
| 2024/8/12 | Common Stock | A公司授予取得 | +15,000 | $0.00 | $0 | 15,000 | 間接 | 重複申報 |
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
Reflects a convertible note that was convertible into shares of common stock of the Issuer. The principal amount of the convertible note together with accrued interest was automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering ("IPO") at a conversion price equal to the initial offering price multiplied by 0.8.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F5
Each share of Series A Redeemable Convertible Preferred Stock preferred stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO. Each share of Series A Convertible 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。
- F6
Each share of Series B-1 Redeemable Convertible Preferred Stock preferred stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO. Each share of Series B-1 Convertible Preferred Stock had no expiration date.
表 I 有 4 筆、表 II 有 4 筆交易的價格引用這則附註。
- F7
Each share of Series B-2 Redeemable Convertible Preferred Stock preferred stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO. Each share of Series B-2 Convertible Preferred Stock had no expiration date.
表 I 有 4 筆、表 II 有 4 筆交易的價格引用這則附註。
- F8
Each share of Series B-3 Redeemable Convertible Preferred Stock preferred stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO. Each share of Series B-3 Convertible Preferred Stock had no expiration date.
表 I 有 3 筆、表 II 有 3 筆交易的價格引用這則附註。
- F9
Each share of Series B-4 Redeemable Convertible Preferred Stock preferred stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO. Each share of Series B-4 Convertible Preferred Stock had no expiration date.
表 I 有 4 筆、表 II 有 4 筆交易的價格引用這則附註。
- F10
Each share of Series C Redeemable Convertible Preferred Stock preferred stock automatically converted into 0.555555 shares of common stock upon the closing of the Issuer's IPO. Each share of Series C Convertible Preferred Stock had no expiration date.
表 I 有 4 筆、表 II 有 4 筆交易的價格引用這則附註。
備註
This Form 4 is the first of six Forms 4 filed relating to the same event. The Form 4 has been split into six filings because there are more than 10 reporting persons and 30 rows in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting persons and 30 rows. The second Form 4 was filed by Leslie W. Kreis as the designated filer. The third and fourth Forms 4 were filed by Aaron G.L. Fletcher. The fifth and sixth Forms 4 were filed by Bios Equity COF, LP as the designated filer. Each of the reporting persons other than Leslie W. Kreis may be deemed a "director by deputization" as the result of Aaron G.L. Fletcher's position as a director of the Issuer.