Novo Holdings A/S - 08 Feb 2022 Form 4 Insider Report for Arcellx, Inc. (ACLX)

Role
10%+ Owner
Signature
/s/ Barbara Fiorini Due, General Counsel, Novo Holdings A/S
Issuer symbol
ACLX
Transactions as of
08 Feb 2022
Net transactions value
+$12,499,995
Form type
4
Filing time
09 Feb 2022, 16:42:27 UTC
Previous filing
03 Feb 2022
Next filing
25 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ACLX COMMON STOCK Conversion of derivative security +3,183,545 3,183,545 08 Feb 2022 Direct F1
transaction ACLX COMMON STOCK Purchase $12,499,995 +833,333 +26% $15.00 4,016,878 08 Feb 2022 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ACLX SERIES A PREFERRED STOCK Conversion of derivative security -1,550,309 -100% 0 08 Feb 2022 COMMON STOCK 1,550,309 Direct F1
transaction ACLX SERIES B-1 PREFERRED STOCK Conversion of derivative security -666,651 -100% 0 08 Feb 2022 COMMON STOCK 666,651 Direct F1
transaction ACLX SERIES B-2 PREFERRED STOCK Conversion of derivative security -533,389 -100% 0 08 Feb 2022 COMMON STOCK 533,389 Direct F1
transaction ACLX SERIES C PREFERRED STOCK Conversion of derivative security -433,196 -100% 0 08 Feb 2022 COMMON STOCK 433,196 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date.
F2 Represents a purchase from the underwriters in the Issuer's initial public offering.