0001209191-20-056160.txt : 20201028 0001209191-20-056160.hdr.sgml : 20201028 20201028210045 ACCESSION NUMBER: 0001209191-20-056160 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201028 FILED AS OF DATE: 20201028 DATE AS OF CHANGE: 20201028 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novo Holdings A/S CENTRAL INDEX KEY: 0001388325 STATE OF INCORPORATION: G7 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39655 FILM NUMBER: 201270192 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 FORMER NAME: FORMER CONFORMED NAME: Novo A/S DATE OF NAME CHANGE: 20070130 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2020-10-28 0 0001800315 Galecto Inc. GLTO 0001388325 Novo Holdings A/S TUBORG HAVNEVEJ 19 HELLERUP G7 2900 DENMARK 0 0 1 0 SERIES B-1 PREFERRED STOCK COMMON STOCK 66454 D SERIES B-2 PREFERRED STOCK COMMON STOCK 41161 D SERIES B-3 PREFERRED STOCK COMMON STOCK 164647 D SERIES B-4 PREFERRED STOCK COMMON STOCK 173312 D SERIES C-1 PREFERRED STOCK COMMON STOCK 348336 D SERIES C-2 PREFERRED STOCK COMMON STOCK 506073 D SERIES C-4 PREFERRED STOCK COMMON STOCK 472334 D SERIES C-5 PREFERRED STOCK COMMON STOCK 134953 D SERIES D PREFERRED STOCK COMMON STOCK 257188 D Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. Novo Holdings A/S is a Danish limited liability company. The board of directors of Novo Holdings A/S (the "Novo Board") has shared investment and voting control over the securities of the Issuer held by Novo Holdings 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 Holdings A/S 2020-10-28