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