0001209191-23-006438.txt : 20230202 0001209191-23-006438.hdr.sgml : 20230202 20230202191211 ACCESSION NUMBER: 0001209191-23-006438 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230131 FILED AS OF DATE: 20230202 DATE AS OF CHANGE: 20230202 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: 23583058 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 2023-01-31 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 2023-01-31 4 F 0 3517 3.79 D 1374475 D Common Stock 793547 I By Spouse Common Stock 258727 I By Carolyn Short 2020 Irrevocable Gift Trust Common Stock 258727 I By Jay Short 2020 Irrevocable Gift Trust Common Stock 302324 I By Capia IP, LLC Common Stock 50 I By Himalaya Parent LLC This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units. 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 2023-02-02