0001209191-19-021849.txt : 20190329 0001209191-19-021849.hdr.sgml : 20190329 20190329183724 ACCESSION NUMBER: 0001209191-19-021849 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190327 FILED AS OF DATE: 20190329 DATE AS OF CHANGE: 20190329 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: YAO TONY DUNG LING CENTRAL INDEX KEY: 0001771680 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38841 FILM NUMBER: 19718221 MAIL ADDRESS: STREET 1: C/O PRECISION BIOSCIENCES, INC. STREET 2: 302 EAST PETTIGREW STREET, SUITE A-100 CITY: DURHAM STATE: NC ZIP: 27701 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PRECISION BIOSCIENCES INC CENTRAL INDEX KEY: 0001357874 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 302 EAST PETTIGREW STREET STREET 2: SUITE A-100 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: 919-314-5512 MAIL ADDRESS: STREET 1: 302 EAST PETTIGREW STREET STREET 2: SUITE A-100 CITY: DURHAM STATE: NC ZIP: 27701 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-03-27 0 0001357874 PRECISION BIOSCIENCES INC DTIL 0001771680 YAO TONY DUNG LING C/O PRECISION BIOSCIENCES, INC. 302 E. PETTIGREW STREET, SUITE A-100 DURHAM NC 27701 1 0 0 0 Convertible Promissory Note 13.60 2019-03-27 4 J 0 502466.00 500000.00 A Common Stock 36946 502466.00 I By ArrowMark Life Science Fund, LP On March 1, 2019, ArrowMark Life Science Fund, LP (the "ArrowMark Fund") acquired a convertible promissory note in the principal amount of $500,000 (the "2019 Note") from Precision BioSciences, Inc. (the "Issuer"). In connection with the pricing of the Issuer's initial public offering on March 27, 2019 (the "IPO"), the conversion price of the 2019 Note became fixed at 85% of the price per share in the IPO, and the 2019 Note became automatically convertible into shares of the Issuer's common stock at the closing of the IPO. The 2019 Note is held of record by the ArrowMark Fund. ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of the 2019 Note, except to the extent of any pecuniary interest therein. /s/ Abid Ansari, Attorney-in-Fact for Tony Dung-Ling Yao 2019-03-29