SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Short Carolyn Anderson

(Last)

(First)

(Middle)

C/O BIOATLA, INC.

11085 TORREYANA ROAD

(Street)

SAN DIEGO

92121

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/15/2020

3. Issuer Name and Ticker or Trading Symbol
BioAtla, Inc. [ BCAB ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	6,220,050	I	By Himalaya Parent LLC⁽¹⁾
Common Stock	138,461⁽²⁾	D
Common Stock	569,230⁽³⁾	I	By spouse

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series D Preferred Stock	⁽⁴⁾	⁽⁴⁾	Common Stock	2,462,254⁽⁵⁾	⁽⁴⁾	I	By Himalaya Parent LLC⁽¹⁾

Explanation of Responses:

1. The reporting person and Jay M. Short are the managers of Himalaya Parent LLC and collectively make investment decisions on the behalf of the entity. The reporting person and Mr. Jay Short disclaim beneficial ownership of the reported securities except to the extent of his or her pecuniary interest therein.

2. Includes 138,461 restricted stock units ("RSUs"). 50% of the RSUs vest on October 29, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date.

3. Includes 569,230 RSUs. 50% of the RSUs vest on October 29, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to the reporting person's spouse's continued employment through the applicable vesting date. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

4. Each share of Series D Preferred Stock is convertible at any time, at the holder's election, into Common Stock, based on the then-applicable conversion rate and has no expiration date.

5. The shares of Series D Preferred Stock will convert automatically into 2,462,254 shares of Common Stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split which became effective on December 2, 2020.

Remarks:

Chief of Intellectual Property and Strategy Assistant Secretary Exhibit List Exhibit 24 - Power of Attorney

	/s/ Carolyn Anderson Short	12/15/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.