0000899243-20-034835.txt : 20201222 0000899243-20-034835.hdr.sgml : 20201222 20201222163055 ACCESSION NUMBER: 0000899243-20-034835 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201218 FILED AS OF DATE: 20201222 DATE AS OF CHANGE: 20201222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levy Guy CENTRAL INDEX KEY: 0001812305 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39787 FILM NUMBER: 201408270 MAIL ADDRESS: STREET 1: C/O SOLEUS PRIVATE EQUITY GP I, LLC STREET 2: 104 FIELD POINT ROAD, 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-12-18 0 0001826892 BioAtla, Inc. BCAB 0001812305 Levy Guy C/O SOLEUS PRIVATE EQUITY GP I, LLC 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 1 0 0 0 Common Stock 2020-12-18 4 C 0 1790472 0.00 A 1790472 I See footnote Common Stock 2020-12-18 4 P 0 1055557 18.00 A 1055557 I See footnote Common Stock 2020-12-18 4 P 0 333333 18.00 A 333333 I See footnote Common Stock 14871 D Series D Convertible Preferred Stock 2020-12-18 4 C 0 1790472 0.00 D Common Stock 1790472 0 I See footnote The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These securities were purchased in the Issuer's initial public offering. The securities reported in this row are held by Soleus BA SPV, LLC ("Soleus SPV "). Soleus GP is the sole managing member of Soleus SPV. Soleus GP holds voting and dispositive power over the shares held by Soleus SPV. Soleus PE GP is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Soleus GP, Soleus PE GP and Mr. Guy Levy disclaims beneficial ownership of these securities held by Soleus SPV and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These securities were purchased in the Issuer's initial public offering. The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020. Consists of 14,871 restricted stock units ("RSUs"). 33.3% of the RSUs vest on December 7, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to Mr. Guy Levy's continued service through the applicable vesting dates. Guy Levy /s/ Guy Levy 2020-12-22