0001209191-22-038185.txt : 20220617 0001209191-22-038185.hdr.sgml : 20220617 20220617195809 ACCESSION NUMBER: 0001209191-22-038185 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220616 FILED AS OF DATE: 20220617 DATE AS OF CHANGE: 20220617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCBRINN SYLVIA CENTRAL INDEX KEY: 0001284666 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39787 FILM NUMBER: 221025636 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 2022-06-16 0 0001826892 BioAtla, Inc. BCAB 0001284666 MCBRINN SYLVIA C/O BIOATLA, INC. 11085 TORREYANA ROAD SAN DIEGO CA 92121 1 0 0 0 Stock Option (right to buy) 2.48 2022-06-16 4 A 0 20000 0.00 A 2032-06-16 Common Stock 20000 20000 D Stock Option (right to buy) 39.64 2022-06-16 4 A 0 5695 0.00 A 2031-06-15 Common Stock 5695 24615 D 100% of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 16, 2023 or (b) the next annual meeting of stockholders, subject to the reporting person continuing to provide services through the vesting date. On June 17, 2021, the reporting person filed a Form 4 in respect of an option covering 24,615 shares. Such option was granted on June 15, 2021 pursuant to the Company's non-employee director compensation policy. The Company subsequently determined that 5,695 of the shares comprising such award were null and void upon grant as a result of the $750,000 annual limit for non-employee director compensation under its 2020 Equity Incentive Plan. As a result on June 16, 2022, the Board of the Company granted a make-whole option covering 5,695 shares to the reporting person. Such make-whole option has the same vesting, expiration and other terms as the option granted on June 15, 2021. 1/3 of the total number of shares subject to the make-whole option were fully vested and exercisable on the date of the grant and 1/36th of the total number of shares subject to the make-whole option shall vest monthly commencing on July 15, 2022, subject to the reporting person continuing to provide services to the Company throughout the vesting date. /s/ Christian Vasquez, as Attorney-in-Fact for Sylvia McBrinn 2022-06-17