Israel Biotech Fund I, L.P. 的 Form 4/A 修正申報
修正Ayala Pharmaceuticals, Inc.（ADXS），2023/9/29 申報
- 申報編號
- 0001178913-23-003253
- 申報時間
- 2023/9/29 06:13 ET
- 交易日
- 2023/9/1
- 申報延遲
- 28 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2023/9/11
這份申報列了 2 筆衍生性交易。交易後 28 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 |
|---|---|
| Israel Biotech Fund I, L.P.CIK 0001652458 | 持股 10% 以上大股東 |
| Israel Biotech Fund II, L.P.CIK 0001782947 | 持股 10% 以上大股東 |
| I.B.F. Management Ltd.CIK 0001994849 | 持股 10% 以上大股東 |
| Israel Biotech Fund GP Partners, L.P.CIK 0001994922 | 持股 10% 以上大股東 |
| Israel Biotech Fund GP Partners II, L.P.CIK 0001994923 | 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。
這份申報沒有這一類的交易。
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 |
|---|---|---|---|---|---|---|---|---|
| 2023/9/1 | Common Stock | P買進取得 | +1,304,348 | $1,500,000.00 | – | 1,304,348 | 間接 | 價格異常重複申報 |
| 2023/9/1 | Common Stock | P買進取得 | +434,783 | $500,000.00 | – | 434,783 | 間接 | 價格異常重複申報 |
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
On August 7, 2023, the Issuer issued a Senior Secured Convertible Promissory Note (the "Note") to Israel Biotech Fund I, L.P. ("IBF 1"), with a principal amount of up to $2,000,000. The principal amount, plus accrued and unpaid interest and any charges thereon, is voluntarily convertible, at IBF 1's option, into shares of Common Stock at a conversion price equal to the lower of (i) the Common Stock's price per share as of market close on August 7, 2023, i.e., $1.15 (the "Initial Conversion Price") and (ii) the Common Stock's price per share as of the close of market on the trading date immediately prior to the date IBF 1 delivers a notice of conversion (the "Updated Conversion Price"), subject to adjustment as set forth therein.
- F2
On September 1, 2023, following a written demand from the Issuer pursuant to the Note, IBF I and Israel Biotech Fund II, L.P. ("IBF 2") (following an assignment by IBF I, the original holder of the Note, of a portion of the rights and obligations under the Note) transferred to the Issuer the principal amount of $1,500,000 and $500,000, respectively.
- F3
The number of shares of Common Stock was computed based on the Initial Conversion Price.
- F4
The reported securities in this row are held of record by IBF 1. Israel Biotech Fund GP Partners, L.P. ("IBF I GP"), a Cayman Islands Exempted Limited Partnership, is the general partner of IBF 1. I.B.F Management Ltd. ("IBF Management"), an Israeli private company, is the management company of IBF I GP. By virtue of such relationships, IBF 1 GP and IBF Management may be deemed to have shared voting and investment power with respect to the securities held of record by IBF 1. Each of IBF 1 GP and IBF Management disclaims beneficial ownership of the securities held by IBF 1, except to the extent of their pecuniary interest therein, if any.
- F5
The reported securities in this row are held of record by IBF 2. Israel Biotech Fund GP Partners II, L.P. ("IBF II GP"), a Cayman Islands Exempted Limited Partnership, is the general partner of IBF 2. IBF Management is the management company of IBF 2 GP. By virtue of such relationships, IBF 2 GP and IBF Management may be deemed to have shared voting and investment power with respect to the securities held of record by IBF 2. Each of IBF 2 GP and IBF Management disclaims beneficial ownership of the securities held by IBF 2, except to the extent of their pecuniary interest therein, if any.
備註
This Form 4/A amends the Form 4 filing dated September 11, 2023 (the "Original Form"), solely in order to add IBF I GP, IBF GP II and IBF Management as additional reporting persons. Although IBF I GP, IBF GP II and IBF Management were disclosed in the Original Form , they were unable to be included as reporting persons themselves as they did not have codes for the EDGAR system at the time.