0001104659-20-084089.txt : 20200716 0001104659-20-084089.hdr.sgml : 20200716 20200716163014 ACCESSION NUMBER: 0001104659-20-084089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200714 FILED AS OF DATE: 20200716 DATE AS OF CHANGE: 20200716 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RA CAPITAL MANAGEMENT, L.P. CENTRAL INDEX KEY: 0001346824 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39370 FILM NUMBER: 201031735 BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-2500 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: RA CAPITAL MANAGEMENT, LLC DATE OF NAME CHANGE: 20051213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kolchinsky Peter CENTRAL INDEX KEY: 0001384859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39370 FILM NUMBER: 201031736 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Rajeev M. CENTRAL INDEX KEY: 0001619841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39370 FILM NUMBER: 201031737 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Nkarta, Inc. CENTRAL INDEX KEY: 0001787400 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 474515206 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6000 SHORELINE COURT STREET 2: SUITE 102 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-215-0385 MAIL ADDRESS: STREET 1: 6000 SHORELINE COURT STREET 2: SUITE 102 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 tm2025007-1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-07-14 0 0001787400 Nkarta, Inc. NKTX 0001346824 RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET, 18TH FLOOR BOSTON MA 02116 0 0 1 0 0001384859 Kolchinsky Peter C/O RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET, 18TH FLOOR BOSTON MA 02116 0 0 1 0 0001619841 Shah Rajeev M. C/O RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET, 18TH FLOOR BOSTON MA 02116 0 0 1 0 Common Stock 2020-07-14 4 C 0 2271796 A 2271796 I See footnote Common Stock 2020-07-14 4 P 0 3333333 18 A 5605129 I See footnote Series B Preferred Stock 2020-07-14 4 C 0 8405656 D Common Stock 2271796 0 I See footnote Each share of Series B Preferred Stock is converted into approximately 0.2703 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. These securities include (a) 1,443,028 shares held by RA Capital Healthcare Fund, L.P. (the "Fund"), (b) 260,819 shares held by a separately managed account ("the Account"), and (c) 567,949 shares held by RA Capital Nexus Fund, L.P. ("the Nexus Fund"). RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund, the Account, and the Nexus Fund. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act"). They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii). To the extent that they might be deemed subject to Section 16, they disclaim beneficial ownership of securities held by the Fund or the Nexus Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein, and disclaim any pecuniary interest in securities held in the Account for purposes of Rule 16a-1(a)(2). Includes (a) 2,839,757 shares held by the Fund, (b) 307,214 shares held by the Account, and (c) 186,362 shares held by the Nexus Fund, in each case acquired in the Issuer's initial public offering. Includes (a) 4,282,785 shares held by the Fund, (b) 568,033 shares held by the Account, and (c) 754,311 shares held by the Nexus Fund. /s/ Peter Kolchinsky, Manager of RA Capital Management, L.P. 2020-07-16 /s/ Peter Kolchinsky, individually 2020-07-16 /s/ Rajeev Shah, individually 2020-07-16