Israel Biotech Fund I, L.P. 的 Form 4 申報
Ayala Pharmaceuticals, Inc.（ADXS），2023/11/21 申報
- 申報編號
- 0001178913-23-003762
- 申報時間
- 2023/11/21 09:04 ET
- 交易日
- 2023/11/17
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 10 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/11/17 | Common Stock | P買進取得 | +1,875,000 | –F1 | – | 6,905,561 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +4,125,000 | –F1 | – | 6,034,308 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +2,812,500 | –F1 | – | 9,718,061 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +6,187,500 | –F1 | – | 12,221,808 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +5,625,000 | –F5 | – | 15,343,061 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +1,875,000 | –F5 | – | 14,096,808 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +3,150,000 | –F7 | – | 18,493,061 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +3,150,000 | –F7 | – | 17,246,808 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +4,687,500 | –F8 | – | 23,180,561 | 間接 | |
| 2023/11/17 | Common Stock | P買進取得 | +10,312,500 | –F8 | – | 27,559,308 | 間接 |
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。
- F1
As more fully described in a Schedule 13D/A filed by the Reporting Persons on 11/21/2023 (the "Schedule 13D/A"), on 11/17/2023 Issuer issued to Israel Biotech Fund I, L.P. ("IBF 1") and IBF II Israel Biotech Fund II, L.P. ("IBF 2") (i) Senior Convertible Promissory Notes (the "Notes"), with a principal amount of $750,000 and $1,650,000, respectively, and (ii) warrants to purchase shares of Common Stock at an exercise price of $0.40 per share, subject to adjustments (the "Warrants"). The principal amount, plus accrued and unpaid interest and charges thereon, of the Notes is convertible into shares of Common Stock at a conversion price equal to the lower of (i) $0.40 (the "Initial Conversion Price") and (ii) 50% of the Common Stock's price per share as of the close of market on the trading date immediately prior to delivery of a conversion notice, subject to adjustments.
表 II 有 4 筆交易的價格引用這則附註。
- F5
As more fully described in the Schedule 13D/A, Issuer issued to IBF I and IBF II (i) Amended and Restated Senior Secured Convertible Promissory Notes (the "A&R Notes"), with a principal amount of $1,500,000 and $500,000, respectively, that amend and restate the terms of the Senior Secured Convertible Promissory Notes dated August 7, 2023 (the "Original Notes"), to conform to the terms of the Notes, and (ii) warrants to purchase shares of Common Stock (the "A&R Warrants") on the terms of the Warrants.
表 II 有 2 筆交易的價格引用這則附註。
- F7
As more fully described in the Schedule 13D/A, Issuer, IBF I, IBF II and others entered into a Side Letter Agreement (New Notes) (the "SLA") pursuant to which, among other things, IBF I and IBF II have the right to purchase senior convertible promissory notes on the same terms (including with respect to warrant coverage) of the Notes in an amount equal to $504,000 and $504,000, respectively, until the earliest of 11/17/2028, the date of consummation of a Change of Control Transaction and the date of consummation of a Financing Transaction (both as defined in the SLA) (the "SAFE Amount Option"). The reported securities in this row assume that the SAFE Amount Option was exercised in full, such that each of IBF I and IBF II were issued new Notes and Warrants.
表 II 有 2 筆交易的價格引用這則附註。
- F8
As more fully described in the Schedule 13D/A, pursuant to the SLA, among other things, IBF I and IBF II have the right to purchase senior convertible promissory notes on the same terms (including with respect to warrant coverage) of the Notes in an amount equal to $750,000 and $1,650,000, respectively, until the earliest of 5/17/2024, the date of consummation of a Change of Control Transaction and the date of consummation of a Financing Transaction (the "Loan Amount Option"). The reported securities in this row assume that the Loan Amount Option was exercised in full, such that each of IBF I and IBF II were issued new Notes and Warrants.
表 II 有 2 筆交易的價格引用這則附註。