0000899243-20-030416.txt : 20201104
0000899243-20-030416.hdr.sgml : 20201104
20201104200025
ACCESSION NUMBER: 0000899243-20-030416
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201102
FILED AS OF DATE: 20201104
DATE AS OF CHANGE: 20201104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOLDFISCHER CARL
CENTRAL INDEX KEY: 0001110780
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39655
FILM NUMBER: 201288237
MAIL ADDRESS:
STREET 1: 161 WEST 61ST STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Galecto, Inc.
CENTRAL INDEX KEY: 0001800315
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 371957007
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: GALECTO BIOTECH AB
STREET 2: OLE MAALOES VEJ3
CITY: COPENHAGEN
STATE: G7
ZIP: DK-2200
BUSINESS PHONE: 45-70-70-52-10
MAIL ADDRESS:
STREET 1: GALECTO BIOTECH AB
STREET 2: OLE MAALOES VEJ3
CITY: COPENHAGEN
STATE: G7
ZIP: DK-2200
FORMER COMPANY:
FORMER CONFORMED NAME: Galecto Inc.
DATE OF NAME CHANGE: 20200116
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-11-02
0
0001800315
Galecto, Inc.
GLTO
0001110780
GOLDFISCHER CARL
C/O GALECTO, INC.
OLE MAALOES VEJ 3
COPENHAGEN N
G7
DK-2200
DENMARK
1
0
0
0
Common Stock
2020-11-02
4
C
0
9587
A
9587
D
Common Stock
2020-11-02
4
C
0
1020036
A
1020036
I
See footnote
Common Stock
2020-11-02
4
C
0
19432
A
19432
I
See footnote
Series D Preferred Stock
2020-09-25
4
A
0
3688
27.11
A
Common Stock
9587
3688
D
Series C-3 Preferred Stock
2020-11-02
4
C
0
392367
0.00
D
Common Stock
1020036
0
I
See footnote
Series C-3 Preferred Stock
2020-11-02
4
C
0
7475
0.00
D
Common Stock
19432
0
I
See footnote
Series D Preferred Stock
2020-11-02
4
C
0
3688
0.00
D
Common Stock
9587
0
D
These shares are held by Bay City Capital Fund V, L.P. ("Fund V").
These shares are held by Bay City Capital Fund V Co-Investment Fund, L.P. ("Co-Investment V").
The Reporting Person is an Investment Partner and Managing Director of Bay City Capital LLC, the manager of Bay City Capital Management V LLC ("Management V"). Management V is the general partner of Fund V and Co-Investment V. The Reporting Person may be deemed to share voting, investment and dispositive power with respect to the shares held by Fund V and Co-Investment V. Dr. Goldfischer disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
The Series C-3 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock at a ratio of 2.59970:1 upon the closing of the Issuer's initial public offering without payment of additional consideration. The Preferred Stock had no expiration date.
This transaction occurred prior to the Issuer's initial public offering and is being reported on Form 4 solely for purposes of compliance with Rule 16a-2(a) under the Securities Exchange Act of 1934, as amended. The securities covered by such transaction were previously included on the Reporting Person's Form 3.
/s/ Jonathan Freve, attorney-in-fact
2020-11-04