0001209191-21-041210.txt : 20210616 0001209191-21-041210.hdr.sgml : 20210616 20210616212217 ACCESSION NUMBER: 0001209191-21-041210 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210614 FILED AS OF DATE: 20210616 DATE AS OF CHANGE: 20210616 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHORT JAY M PHD CENTRAL INDEX KEY: 0001205375 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39787 FILM NUMBER: 211023196 MAIL ADDRESS: STREET 1: C/O DIVERSA CORPORATION STREET 2: 4955 DIRECTORS PLACE 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-06-14 0 0001826892 BioAtla, Inc. BCAB 0001205375 SHORT JAY M PHD C/O BIOATLA, INC. 11085 TORREYANA ROAD SAN DIEGO CA 92121 1 1 1 0 Chief Executive Officer Common Stock 2021-06-14 4 J 0 872278 0.00 A 1441508 D Common Stock 2021-06-14 4 J 0 258727 0.00 A 258727 I By Jay Short 2020 Irrevocable Gift Trust Common Stock 2021-06-14 4 J 0 302324 0.00 A 302324 I By Capia IP, LLC Common Stock 2021-06-14 4 J 0 258727 0.00 A 258727 I By Carolyn Short 2020 Irrevocable Gift Trust Common Stock 2021-06-14 4 J 0 872278 0.00 A 1010739 I By Spouse Common Stock 2021-06-14 4 S 0 70066 40.2248 D 940673 I By Spouse Common Stock 2021-06-14 4 S 0 2654 41.6585 D 938019 I By Spouse Common Stock 2021-06-14 4 S 0 3070 42.2449 D 934949 I By Spouse Common Stock 2021-06-14 4 S 0 1100 43.4952 D 933849 I By Spouse Common Stock 2021-06-14 4 S 0 1807 44.4742 D 932042 I By Spouse Common Stock 2021-06-15 4 S 0 19673 39.3571 D 912369 I By Spouse Common Stock 2021-06-15 4 S 0 12348 40.2741 D 900021 I By Spouse Common Stock 2021-06-15 4 S 0 2 41.01 D 900019 I By Spouse Common Stock 2021-06-16 4 S 0 31349 39.3269 D 868670 I By Spouse Common Stock 2021-06-16 4 S 0 4068 40.0832 D 864602 I By Spouse Common Stock 0 I By Himalaya Parent LLC Distribution of the Issuer's shares of Common Stock by Himalaya Parent LLC, of which the reporting person is a member, for no consideration. The range of prices for the shares of Common Stock is from $40.00 to $40.95. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $41.00 to $41.98. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $42.01 to $42.84. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $43.25 to $44.19. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $44.26 to $45.12. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $39.00 to $39.97. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $40.00 to $40.99. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $39.00 to $39.83. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The range of prices for the shares of Common Stock is from $40.00 to $40.25. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. The reporting person and his spouse are the managers of Himalaya Parent LLC and collectively make investment decisions on the behalf of the entity. The reporting person and his spouse disclaim beneficial ownership of the reported securities except to the extent of his or her pecuniary interest therein. /s/ Christian Vasquez, as Attorney-in-Fact for Jay M. Short 2021-06-16