0001387131-21-007995.txt : 20210802
0001387131-21-007995.hdr.sgml : 20210802
20210802204021
ACCESSION NUMBER: 0001387131-21-007995
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210729
FILED AS OF DATE: 20210802
DATE AS OF CHANGE: 20210802
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIKING GLOBAL INVESTORS LP
CENTRAL INDEX KEY: 0001103804
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40693
FILM NUMBER: 211137552
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 212-672-7050
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HALVORSEN OLE ANDREAS
CENTRAL INDEX KEY: 0001133006
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40693
FILM NUMBER: 211137548
MAIL ADDRESS:
STREET 1: C/O VIKING GLOBAL INVESTORS LP
STREET 2: 280 PARK AVE 35TH
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ott David C.
CENTRAL INDEX KEY: 0001621842
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40693
FILM NUMBER: 211137547
MAIL ADDRESS:
STREET 1: C/O VIKING GLOBAL INVESTORS LP
STREET 2: 280 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Viking Global Opportunities Portfolio GP LLC
CENTRAL INDEX KEY: 0001629472
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40693
FILM NUMBER: 211137550
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-863-5000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
FORMER NAME:
FORMER CONFORMED NAME: VGO Portfolio GP LLC
DATE OF NAME CHANGE: 20141230
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Viking Global Opportunities GP LLC
CENTRAL INDEX KEY: 0001629476
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40693
FILM NUMBER: 211137549
BUSINESS ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-863-5000
MAIL ADDRESS:
STREET 1: 55 RAILROAD AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Viking Global Opportunities Illiquid Investments Sub-Master LP
CENTRAL INDEX KEY: 0001629482
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40693
FILM NUMBER: 211137551
BUSINESS ADDRESS:
STREET 1: MORGAN STANLEY SERVICES (CAYMAN)
STREET 2: CRICKET SQ., HUTCHINS DR., P.O. BOX 2681
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1111
BUSINESS PHONE: 441-295-9166
MAIL ADDRESS:
STREET 1: MORGAN STANLEY SERVICES (CAYMAN)
STREET 2: CRICKET SQ., HUTCHINS DR., P.O. BOX 2681
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1111
FORMER NAME:
FORMER CONFORMED NAME: VGO Illiquid Investments Sub-Master LP
DATE OF NAME CHANGE: 20141230
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shabet Rose Sharon
CENTRAL INDEX KEY: 0001711393
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40693
FILM NUMBER: 211137546
MAIL ADDRESS:
STREET 1: C/O VIKING GLOBAL INVESTORS LP
STREET 2: 280 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Rallybio Corp
CENTRAL INDEX KEY: 0001739410
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 851083789
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 234 CHURCH STREET
STREET 2: SUITE 1020
CITY: NEW HAVEN
STATE: CT
ZIP: 06510
BUSINESS PHONE: 203- 859-3820
MAIL ADDRESS:
STREET 1: 234 CHURCH STREET
STREET 2: SUITE 1020
CITY: NEW HAVEN
STATE: CT
ZIP: 06510
FORMER COMPANY:
FORMER CONFORMED NAME: Rallybio Holdings, LLC
DATE OF NAME CHANGE: 20180502
4
1
ownership.xml
X0306
4
2021-07-29
0
0001739410
Rallybio Corp
RLYB
0001103804
VIKING GLOBAL INVESTORS LP
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001629482
Viking Global Opportunities Illiquid Investments Sub-Master LP
MORGAN STANLEY SERVICES (CAYMAN)
CRICKET SQ., HUTCHINS DR., P.O. BOX 2681
GRAND CAYMAN
KY
E9KY1-1111
0
0
1
0
0001629472
Viking Global Opportunities Portfolio GP LLC
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001629476
Viking Global Opportunities GP LLC
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
0001133006
HALVORSEN OLE ANDREAS
C/O VIKING GLOBAL INVESTORS LP
280 PARK AVE 35TH
NEW YORK
NY
10017
0
0
1
0
0001621842
Ott David C.
C/O VIKING GLOBAL INVESTORS LP
280 PARK AVENUE
NEW YORK
NY
10017
0
0
1
0
0001711393
Shabet Rose Sharon
55 RAILROAD AVENUE
GREENWICH
CT
06830
0
0
1
0
Common Stock
2021-07-29
4
C
0
3388777
A
3388777
I
See Explanation Responses
Common Stock
2021-07-29
4
P
0
806000
13
A
4194777
I
See Explanation Responses
Series B Preferred Units
2021-07-29
4
C
0
21578387
D
Common Stock
3388777
0
I
See Explanation of Responses
Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
On July 27, 2021, Opportunities Fund acquired 806,000 shares of common stock of the Issuer ("Common Stock") at a price of $13.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 4,194,777 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date.
6. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. 7. Scott M. Hendler is signing on behalf of Mr. Halvorsen, Mr. Ott and Ms. Shabet, each individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL OPPORTUNITIES GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES PORTFOLIO GP LLC, and VIKING GLOBAL OPPORTUNITIES ILLIQUID INVESTMENTS SUB-MASTER LP, pursuant to authorization and designation letters dated February 9, 2021, which were filed with the Securities and Exchange Commission on June 7, 2021.
/s/ Scott M. Hendler signing on behalf of O. Andreas Halvorsen (6) (7)
2021-08-02
/s/ Scott M. Hendler signing on behalf of David C. Ott (6) (7)
2021-08-02
/s/ Scott M. Hendler signing on behalf of Rose S. Shabet (6) (7)
2021-08-02