0000899243-22-035045.txt : 20221103
0000899243-22-035045.hdr.sgml : 20221103
20221103210845
ACCESSION NUMBER: 0000899243-22-035045
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221101
FILED AS OF DATE: 20221103
DATE AS OF CHANGE: 20221103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Berkman Charles S
CENTRAL INDEX KEY: 0001392266
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-56427
FILM NUMBER: 221359914
MAIL ADDRESS:
STREET 1: 11085 NORTH TORREY PINES ROAD
STREET 2: SUITE 300
CITY: LA JOLLA
STATE: CA
ZIP: 92037
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: OmniAb Operations, Inc.
CENTRAL INDEX KEY: 0001893653
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5980 HORTON STREET
STREET 2: SUITE 600
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
BUSINESS PHONE: 858-652-1292
MAIL ADDRESS:
STREET 1: 5980 HORTON STREET
STREET 2: SUITE 600
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
FORMER COMPANY:
FORMER CONFORMED NAME: OmniAb, Inc.
DATE OF NAME CHANGE: 20211112
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-11-01
1
0001893653
OmniAb Operations, Inc.
NONE
0001392266
Berkman Charles S
5980 HORTON STREET, SUITE 600
EMERYVILLE
CA
94608
1
1
0
0
CLO & Secretary
Common Stock
2022-11-01
4
A
0
15409
0.00
A
52587
D
Common Stock
2022-11-01
4
D
0
52587
D
0
D
Stock Option
50.96
2022-11-01
4
A
0
35810
0.00
A
2032-05-05
Common Stock
35810
35810
D
Stock Option
50.96
2022-11-01
4
D
0
35810
D
2032-05-05
Common Stock
35810
0
D
Stock Option
31.62
2022-11-01
4
D
0
1701
D
2025-02-10
Common Stock
1701
0
D
Stock Option
48.21
2022-11-01
4
D
0
3627
D
2026-02-11
Common Stock
3627
0
D
Stock Option
56.41
2022-11-01
4
D
0
5966
D
2027-02-24
Common Stock
5966
0
D
Stock Option
89.36
2022-11-01
4
D
0
8117
D
2028-03-02
Common Stock
8117
0
D
Stock Option
66.30
2022-11-01
4
D
0
12797
D
2029-02-11
Common Stock
12797
0
D
Stock Option
53.77
2022-11-01
4
D
0
15043
D
2030-02-13
Common Stock
15043
0
D
Stock Option
99.75
2022-11-01
4
D
0
6076
D
2031-02-03
Common Stock
6076
0
D
Includes 9,564 restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock and does not expire.
Includes 26,789 shares of the Issuer's Common Stock received by the Reporting Person in connection with a pro-rata distribution in-kind from Ligand Pharmaceuticals Incorporated, which was exempt from reporting pursuant to Rule 16a-9.
Includes securities that were adjusted pursuant to an anti-dilution provision in connection with the separation of the Issuer from Ligand Pharmacueticals Incorporated on November 1, 2022.
Pursuant to the business combination of Avista Public Acquisition Corp. II (after consummation of the transaction contemplated here, "New OmniAb") and the Issuer, as contemplated by an agreement and plan of merger, dated March 23, 2022 (the "Merger Agreement"), each share of common stock, option and award of restricted stock unit of the Issuer will automatically convert into the right to receive securities of New OmniAb with the same terms and conditions in accordance with exchange ratios described in the Merger Agreement.
The stock option vests and is exercisable as to 12.5% of the underlying shares on August 5, 2022, and in 42 substantially equal monthly installments thereafter.
The stock option is fully vested and exercisable.
The stock option vests and is exercisable as to 12.5% of the underlying shares on August 11, 2019, and in 42 substantially equal monthly installments thereafter.
The stock option vests and is exercisable as to 12.5% of the underlying shares on August 13, 2020, and in 42 substantially equal monthly installments thereafter.
The stock option vests and is exercisable as to 12.5% of the underlying shares on August 3, 2021, and in 42 substantially equal monthly installments thereafter.
/s/ Charles S. Berkman
2022-11-03