0001209191-23-014294.txt : 20230301 0001209191-23-014294.hdr.sgml : 20230301 20230301183320 ACCESSION NUMBER: 0001209191-23-014294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230210 FILED AS OF DATE: 20230301 DATE AS OF CHANGE: 20230301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Scott Andrew CENTRAL INDEX KEY: 0001614975 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39787 FILM NUMBER: 23695607 MAIL ADDRESS: STREET 1: C/O CELGENE CORPORATION STREET 2: 86 MORRIS AVENUE CITY: SUMMIT STATE: NJ ZIP: 07901 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 2023-02-10 0 0001826892 BioAtla, Inc. BCAB 0001614975 Smith Scott Andrew C/O BIOATLA, INC. 11085 TORREYANA ROAD SAN DIEGO CA 92121 1 1 0 0 Former President Common Stock 2023-02-28 4 F 0 1791 2.98 D 316908 D Employee Stock Option (right to buy) 3.65 2023-02-10 4 A 0 350000 0.00 A 2033-02-10 Common Stock 350000 350000 D 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 option vests over a period of four years, with 25% of the shares underlying the option vesting on the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued service to the company through the applicable vesting dates. /s/ Christian Vasquez, as Attorney-in-Fact for Scott A. Smith 2023-03-01