| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AZTR | Convertible Notes | Sale | -78K | -100% | 0 | Jun 21, 2023 | Directly held by Bios Fund III, LP | F1, F2, F3 | ||
| transaction | AZTR | Common Stock | Purchase | +198K | 198K | Jun 21, 2023 | Directly held by Bios Fund III, LP | F1, F2, F3 | |||
| transaction | AZTR | Common Stock | Purchase | $349K | +69.9K | +35.35% | $5.00 | 268K | Jun 21, 2023 | Directly held by Bios Fund III, LP | F2, F3 |
| transaction | AZTR | Common Stock | Conversion of derivative security | +137K | +51.27% | 405K | Jun 21, 2023 | Directly held by Bios Fund III, LP | F2, F3, F4 | ||
| transaction | AZTR | Convertible Notes | Sale | -509K | -100% | 0 | Jun 21, 2023 | Directly held by Bios Fund III QP, LP | F1, F2, F3 | ||
| transaction | AZTR | Common Stock | Purchase | +1.29M | 1.29M | Jun 21, 2023 | Directly held by Bios Fund III QP, LP | F1, F2, F3 | |||
| transaction | AZTR | Common Stock | Purchase | $2.28M | +456K | +35.35% | $5.00 | 1.75M | Jun 21, 2023 | Directly held by Bios Fund III QP, LP | F2, F3 |
| transaction | AZTR | Common Stock | Conversion of derivative security | +896K | +51.27% | 2.64M | Jun 21, 2023 | Directly held by Bios Fund III QP, LP | F2, F3, F4 | ||
| transaction | AZTR | Convertible Notes | Sale | -82.2K | -100% | 0 | Jun 21, 2023 | Directly held by Bios Fund III NT, LP | F1, F2, F3 | ||
| transaction | AZTR | Common Stock | Purchase | +209K | 209K | Jun 21, 2023 | Directly held by Bios Fund III NT, LP | F1, F2, F3 | |||
| transaction | AZTR | Common Stock | Purchase | $369K | +73.7K | +35.35% | $5.00 | 282K | Jun 21, 2023 | Directly held by Bios Fund III NT, LP | F2, F3 |
| transaction | AZTR | Common Stock | Conversion of derivative security | +145K | +51.27% | 427K | Jun 21, 2023 | Directly held by Bios Fund III NT, LP | F2, F3, F4 | ||
| transaction | AZTR | Common Stock | Conversion of derivative security | +468K | 468K | Jun 21, 2023 | Directly held by Bios Fund I QP, LP | F2, F3, F5 | |||
| transaction | AZTR | Common Stock | Conversion of derivative security | +799K | 799K | Jun 21, 2023 | Directly held by Bios Fund I, LP | F2, F3, F5 | |||
| transaction | AZTR | Common Stock | Conversion of derivative security | +256K | 256K | Jun 21, 2023 | Directly held by Bios Fund II, LP | F2, F3, F6 | |||
| transaction | AZTR | Common Stock | Conversion of derivative security | +57.7K | +22.6% | 313K | Jun 21, 2023 | Directly held by Bios Fund II, LP | F2, F3, F4 | ||
| transaction | AZTR | Common Stock | Conversion of derivative security | +835K | 835K | Jun 21, 2023 | Directly held by Bios Fund II QP, LP | F2, F3, F6 | |||
| transaction | AZTR | Common Stock | Conversion of derivative security | +189K | +22.62% | 1.02M | Jun 21, 2023 | Directly held by Bios Fund II QP, LP | F2, F3, F4 | ||
| transaction | AZTR | Common Stock | Conversion of derivative security | +112K | 112K | Jun 21, 2023 | Directly held by Bios Fund II NT, LP | F2, F3, F6 | |||
| transaction | AZTR | Common Stock | Conversion of derivative security | +25.3K | +22.63% | 137K | Jun 21, 2023 | Directly held by Bios Fund II NT, LP | F2, F3, F4 | ||
| transaction | AZTR | Common Stock | Conversion of derivative security | +436K | 436K | Jun 21, 2023 | Directly held by Bios Azitra Co-Invest I, LP | F2, F3, F6 | |||
| holding | AZTR | Common Stock | 13.1K | Jun 21, 2023 | Directly held by KF Legacy Trust | F7 | |||||
| holding | AZTR | Common Stock | 13.1K | Jun 21, 2023 | Directly held by MF Legacy Trust | F7 | |||||
| holding | AZTR | Common Stock | 136K | Jun 21, 2023 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AZTR | Series B Convertible Preferred Stock | Conversion of derivative security | $0 | -124K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 124K | Directly held by Bios Fund III, LP | F2, F3, F4 | |
| transaction | AZTR | Series B Convertible Preferred Stock | Conversion of derivative security | $0 | -808K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 808K | Directly held by Bios Fund III QP, LP | F2, F3, F4 | |
| transaction | AZTR | Series B Convertible Preferred Stock | Conversion of derivative security | $0 | -130K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 130K | Directly held by Bios Fund III NT, LP | F2, F3, F4 | |
| transaction | AZTR | Series A Convertible Preferred Stock | Conversion of derivative security | $0 | -468K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 468K | Directly held by Bios Fund I QP, LP | F2, F3, F5 | |
| transaction | AZTR | Series A Convertible Preferred Stock | Conversion of derivative security | $0 | -799K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 799K | Directly held by Bios Fund I, LP | F2, F3, F5 | |
| transaction | AZTR | Series A-1 Convertible Preferred Stock | Conversion of derivative security | $0 | -233K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 233K | Directly held by Bios Fund II, LP | F2, F3, F6 | |
| transaction | AZTR | Series B Convertible Preferred Stock | Conversion of derivative security | $0 | -52.1K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 52.1K | Directly held by Bios Fund II, LP | F2, F3, F4 | |
| transaction | AZTR | Series A-1 Convertible Preferred Stock | Conversion of derivative security | $0 | -412K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 412K | Directly held by Bios Fund II QP, LP | F2, F3, F6 | |
| transaction | AZTR | Series B Convertible Preferred Stock | Conversion of derivative security | $0 | -170K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 170K | Directly held by Bios Fund II QP, LP | F2, F3, F4 | |
| transaction | AZTR | Series A-1 Convertible Preferred Stock | Conversion of derivative security | $0 | -102K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 102K | Directly held by Bios Fund II NT, LP | F2, F3, F6 | |
| transaction | AZTR | Series B Convertible Preferred Stock | Conversion of derivative security | $0 | -22.8K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 22.8K | Directly held by Bios Fund II NT, LP | F2, F3, F4 | |
| transaction | AZTR | Series A-1 Convertible Preferred Stock | Conversion of derivative security | $0 | -398K | -100% | $0.00* | 0 | Jun 21, 2023 | Common Stock | 398K | Directly held by Bios Azitra Co-Invest I, LP | F2, F3, F6 |
| Id | Content |
|---|---|
| F1 | The convertible note automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering ("IPO") at a conversion price equal to $2.50 per share. |
| F2 | Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Azitra Co-invest I, LP ("Bios Azitra Co-invest"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Cavu Management, LP, an entity managed and controlled by Mr. Les Kreis, and Bios Capital Management, LP, an entity managed and controlled by Mr. Aaron Fletcher, are the general partners of Bios Equity I, Bios Equity II and Bios Equity III. Cavu Advisors LLC, an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management LP. |
| F3 | Bios Advisors GP, LLC, an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Capital Management, LP. The shares owned by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Fund III, Bios Fund III QP, Bios Fund III NT and Bios Azitra Co-invest (collectively, the "Bios Equity Entities") are aggregated for purposes of reporting share ownership information. Mr. Kreis and Mr. Fletcher share voting and investment control with respect to shares held by the Bios Equity Entities. |
| F4 | Each share of Series B Convertible Preferred Stock automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's IPO at a conversion price equal to approximately $1.11 per share, after making certain anti-dilution adjustments. The Series B Convertible Preferred Stock had no expiration date |
| F5 | Each share of Series A Convertible Preferred Stock automatically converted into one share of common stock of the Issuer upon the closing of the Issuer's IPO. The Series A Convertible Preferred Stock had no expiration date. |
| F6 | Each share of Series A-1 Convertible Preferred Stock automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's IPO at a conversion price equal to approximately $1.10 per share, after making certain anti-dilution adjustments. The Series A-1 Convertible Preferred Stock had no expiration date. |
| F7 | Shares are held in a trust for the benefit of Mr. Fletcher's children. Mr. Fletcher and his spouse serve as the trustees of the trust. |
This Form 4 is the first of two Forms 4 filed relating to the same event. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting persons. The first Form 4 was filed by Leslie W. Kreis as the designated filer.