0001104659-23-129340.txt : 20231226 0001104659-23-129340.hdr.sgml : 20231226 20231226213013 ACCESSION NUMBER: 0001104659-23-129340 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231221 FILED AS OF DATE: 20231226 DATE AS OF CHANGE: 20231226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Redmile Group, LLC CENTRAL INDEX KEY: 0001425738 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39593 FILM NUMBER: 231514464 BUSINESS ADDRESS: STREET 1: ONE LETTERMAN DRIVE STREET 2: BUILDING D, SUITE D3-300 CITY: SAN FRANCISCO STATE: CA ZIP: 94129 BUSINESS PHONE: 415-489-9980 MAIL ADDRESS: STREET 1: ONE LETTERMAN DRIVE STREET 2: BUILDING D, SUITE D3-300 CITY: SAN FRANCISCO STATE: CA ZIP: 94129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Green Jeremy CENTRAL INDEX KEY: 0001650527 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39593 FILM NUMBER: 231514463 MAIL ADDRESS: STREET 1: 45 W. 27TH STREET, FLOOR 11 CITY: NEW YORK STATE: NY ZIP: 10001 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Shattuck Labs, Inc. CENTRAL INDEX KEY: 0001680367 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 812575858 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 W. 5TH STREET CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 512-900-4690 MAIL ADDRESS: STREET 1: 500 W. 5TH STREET CITY: AUSTIN STATE: TX ZIP: 78701 4 1 tm2333671-2_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-12-21 0 0001680367 Shattuck Labs, Inc. STTK 0001425738 Redmile Group, LLC ONE LETTERMAN DRIVE BUILDING D, SUITE D3-300 SAN FRANCISCO CA 94129 1 0 1 0 0001650527 Green Jeremy C/O REDMILE GROUP, LLC (NY OFFICE) 45 W. 27TH STREET, FLOOR 11 NEW YORK NY 10001 1 0 1 0 0 Pre-Funded Warrant to Purchase Common Stock 0.0001 2023-12-21 4 A 0 3100823 A Common Stock 3100823 3100823 I See footnote On December 21, 2023, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") with certain private investment vehicles and sub-advised accounts managed by Redmile Group, LLC (collectively, the "Redmile Funds"). Pursuant to the terms of the Purchase Agreement, the Issuer in a private placement, which closed on the second trading day following the date of the Purchase Agreement, issued and sold to the Redmile Funds pre-funded warrants (the "Warrants") to purchase up to an aggregate of 3,100,823 shares of the Issuer's common stock (the "Warrant Shares") at a purchase price per share equal to $6.4499, which represents the offering price per share of the Common Stock less the exercise price per share of $0.0001. The Warrants are exercisable by the Redmile Funds at any time on or after the original issuance date of the Purchase Agreement until fully exercised at an exercise price per share equal to $0.0001, subject to a 9.99% beneficial ownership blocker. The Warrants have no expiration date. These securities may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mike Lee, a member of the board of directors of the Issuer and a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile and its affiliates. As a result, the Reporting Persons are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. By: /s/ Jeremy Green, Managing Member of Redmile Group, LLC 2023-12-26 /s/ Jeremy Green 2023-12-26