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