Sr One Capital Management, Llc - Feb 3, 2022 Form 3 Insider Report for Arcellx, Inc. (ACLX)

Role
10%+ Owner
Signature
/s/ Simeon George, Member
Stock symbol
ACLX
Transactions as of
Feb 3, 2022
Transactions value $
$0
Form type
3
Date filed
2/3/2022, 05:22 PM
Previous filing
Sep 2, 2021
Next filing
Feb 10, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ACLX Series A Preferred Stock Feb 3, 2022 Common Stock 1.55M See footnote F1, F2
holding ACLX Series B-1 Preferred Stock Feb 3, 2022 Common Stock 667K See footnote F1, F2
holding ACLX Series B-2 Preferred Stock Feb 3, 2022 Common Stock 533K See footnote F1, F2
holding ACLX Series C Preferred Stock Feb 3, 2022 Common Stock 650K See footnote F1, F2
holding ACLX Series C Preferred Stock Feb 3, 2022 Common Stock 433K See footnote F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date.
F2 The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
F3 The reported securities are held directly by SR One Co-Invest II, LLC. SR One Co-Invest Manager II, LLC is the managing member of SR One Co-Invest II, LLC, and SR One Capital Management, LLC is the managing member of SR One Co-Invest Manager II, LLC. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Co-Invest Manager II, LLC, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.