0001209191-17-006695.txt : 20170201 0001209191-17-006695.hdr.sgml : 20170201 20170201162230 ACCESSION NUMBER: 0001209191-17-006695 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170131 FILED AS OF DATE: 20170201 DATE AS OF CHANGE: 20170201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ANAPTYSBIO INC CENTRAL INDEX KEY: 0001370053 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 203828755 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10421 PACIFIC CENTER COURT, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-362-6295 MAIL ADDRESS: STREET 1: 10421 PACIFIC CENTER COURT, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: ANAPTYS BIOSCIENCES INC DATE OF NAME CHANGE: 20060724 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novo A/S CENTRAL INDEX KEY: 0001388325 STATE OF INCORPORATION: G7 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37985 FILM NUMBER: 17565189 BUSINESS ADDRESS: STREET 1: TUBORG HAVNEVEJ 19 CITY: HELLERUP STATE: G7 ZIP: 2900 BUSINESS PHONE: 45 8824 8824 MAIL ADDRESS: STREET 1: TUBORG HAVNEVEJ 19 CITY: HELLERUP STATE: G7 ZIP: 2900 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-31 0 0001370053 ANAPTYSBIO INC ANAB 0001388325 Novo A/S TUBORG HAVNEVEJ 19 HELLERUP G7 2900 DENMARK 0 0 1 0 Common Stock 2017-01-31 4 C 0 1428571 A 1428571 D Common Stock 2017-01-31 4 C 0 486820 A 1915391 D Common Stock 2017-01-31 4 C 0 312986 A 2228377 D Common Stock 2017-01-31 4 C 0 673454 A 2901831 D Common Stock 2017-01-31 4 X 0 81673 A 2983504 D Common Stock 2017-01-31 4 P 0 50000 15.00 A 3033504 D Series B Preferred Stock 2017-01-31 4 C 0 1428571 0.00 D Common Stock 1428571 0 D Series C Preferred Stock 2017-01-31 4 C 0 486820 0.00 D Common Stock 486820 0 D Series C-1 Preferred Stock 2017-01-31 4 C 0 312986 0.00 D Common Stock 312986 0 D Series D Preferred Stock 2017-01-31 4 C 0 673454 0.00 D Common Stock 673454 0 D Series C Preferred Stock Warrant (Right to Buy) 4.55 2017-01-31 4 X 0 117235 0.00 D 2018-11-04 Common Stock 117235 0 D The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Immediately prior to the IPO Closing, the warrant became exercisable for shares of common stock. The shares acquired upon exercise of the warrant were acquired through a net exercise procedure in accordance with the terms of the warrant and did not involve any sale of shares. All shares received upon such exercise are subject to a lock-up agreement between the Reporting Person and the underwriters. Represents a purchase from the underwriters in the Issuer's initial public offering. Novo A/S is a Danish limited liability company. The board of directors of Novo A/S (the "Novo Board"), currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard and Per Wold-Olsen, has shared investment and voting control over the securities of the Issuer held by Novo A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares. /s/ Peter Haahr, Chief Financial Officer of Novo A/S 2017-01-31