0000899243-20-033941.txt : 20201215 0000899243-20-033941.hdr.sgml : 20201215 20201215195449 ACCESSION NUMBER: 0000899243-20-033941 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201215 FILED AS OF DATE: 20201215 DATE AS OF CHANGE: 20201215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Short Carolyn Anderson CENTRAL INDEX KEY: 0001834843 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39787 FILM NUMBER: 201390944 MAIL ADDRESS: STREET 1: 11085 TORREYANA ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BioAtla, Inc. CENTRAL INDEX KEY: 0001826892 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 851922320 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11085 TORREYANA ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-558-0708 MAIL ADDRESS: STREET 1: 11085 TORREYANA ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2020-12-15 0 0001826892 BioAtla, Inc. BCAB 0001834843 Short Carolyn Anderson C/O BIOATLA, INC. 11085 TORREYANA ROAD SAN DIEGO CA 92121 0 1 1 0 See Remarks Common Stock 6220050 I By Himalaya Parent LLC Common Stock 138461 D Common Stock 569230 I By spouse Series D Preferred Stock Common Stock 2462254 I By Himalaya Parent LLC The reporting person and Jay M. Short are the managers of Himalaya Parent LLC and collectively make investment decisions on the behalf of the entity. The reporting person and Mr. Jay Short disclaim beneficial ownership of the reported securities except to the extent of his or her pecuniary interest therein. Includes 138,461 restricted stock units ("RSUs"). 50% of the RSUs vest on October 29, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date. Includes 569,230 RSUs. 50% of the RSUs vest on October 29, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to the reporting person's spouse's continued employment through the applicable vesting date. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Each share of Series D Preferred Stock is convertible at any time, at the holder's election, into Common Stock, based on the then-applicable conversion rate and has no expiration date. The shares of Series D Preferred Stock will convert automatically into 2,462,254 shares of Common Stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split which became effective on December 2, 2020. Chief of Intellectual Property and Strategy Assistant Secretary Exhibit List Exhibit 24 - Power of Attorney /s/ Carolyn Anderson Short 2020-12-15 EX-24 2 attachment1.htm EX-24 DOCUMENT

                                   POWER OF ATTORNEY

        Know all by these presents, that the undersigned hereby constitutes and
appoints each of Christian Vasquez and Richard Waldron, signing singly, the
undersigned's true and lawful attorney-in-fact to:

        (1) prepare, execute in the undersigned's name and on the undersigned's
            behalf, and submit to the U.S. Securities and Exchange Commission
            (the "SEC") a Form ID, including amendments thereto, and any other
            documents necessary or appropriate to obtain codes and passwords
            enabling the undersigned to make electronic filings with the SEC of
            reports required by Section 16(a) of the Securities Exchange Act of
            1934 or any rule or regulation of the SEC;

        (2) execute for and on behalf of the undersigned, in the undersigned's
            capacity as an officer and/or director of BioAtla, Inc. (the
            "Company"), Forms 3, 4, and 5 in accordance with Section 16(a) of
            the Securities Exchange Act of 1934 and the rules thereunder, and
            any other forms or reports the undersigned may be required to file
            in connection with the undersigned's ownership, acquisition, or
            disposition of securities of the Company;

        (3) do and perform any and all acts for and on behalf of the undersigned
            which may be necessary or desirable to complete and execute any such
            Form 3, 4, or 5, or other form or report, and timely file such form
            or report with the United States Securities and Exchange Commission
            and any stock exchange or similar authority; and

        (4) take any other action of any type whatsoever in connection with the
            foregoing which, in the opinion of such attorney-in-fact, may be of
            benefit to, in the best interest of, or legally required by, the
            undersigned, it being understood that the documents executed by such
            attorney-in-fact on behalf of the undersigned pursuant to this Power
            of Attorney shall be in such form and shall contain such terms and
            conditions as such attorney-in-fact may approve in such attorney-in-
            fact's discretion.

        The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the rights
and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.

        This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.

        IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 15th day of December, 2020.

                                        /s/ Carolyn Anderson Short
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                                        Carolyn Anderson Short