Novo Holdings A/S - 08 Feb 2022 Form 4 Insider Report for Arcellx, Inc. (ACLX)

Reporting relationship: 10%+ Owner
Issuer ticker: ACLX
Reported as of: 08 Feb 2022
Net transaction value: +$12,499,995
SEC form: 4
Accepted by SEC: 09 Feb 2022, 16:42:27 UTC
Prior SEC filing: 03 Feb 2022
Next SEC filing: 25 Feb 2022
Source filing: View source filing
Reporting owner signature: /s/ Barbara Fiorini Due, General Counsel, Novo Holdings A/S

Key filing fact

Novo Holdings A/S filed Form 4 for Arcellx, Inc. (ACLX) on 09 Feb 2022.

Key facts

This page summarizes Novo Holdings A/S's Form 4 filing for Arcellx, Inc. (ACLX).
6 reported transactions and 4 derivative rows are listed below.
Accepted by SEC: 09 Feb 2022, 16:42.

Change

Previous filing in this sequence was filed on 03 Feb 2022.
Current net transaction value: +$12,499,995.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ACLX transaction

COMMON STOCK

Conversion of derivative security

Transaction value
Shares: +3,183,545
Change %
Price
Shares after: 3,183,545
Date: 08 Feb 2022
Ownership: Direct
Footnotes: F1

ACLX transaction

COMMON STOCK

Purchase

Transaction value: $12,499,995
Shares: +833,333
Change %: +26%
Price: $15.00
Shares after: 4,016,878
Date: 08 Feb 2022
Ownership: Direct
Footnotes: F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ACLX transaction Derivative

SERIES A PREFERRED STOCK

Conversion of derivative security

Transaction value
Shares: -1,550,309
Change %: -100%
Price
Shares after: 0
Date: 08 Feb 2022
Ownership: Direct
Underlying class: COMMON STOCK
Underlying amount: 1,550,309
Exercise price
Footnotes: F1

ACLX transaction Derivative

SERIES B-1 PREFERRED STOCK

Conversion of derivative security

Transaction value
Shares: -666,651
Change %: -100%
Price
Shares after: 0
Date: 08 Feb 2022
Ownership: Direct
Underlying class: COMMON STOCK
Underlying amount: 666,651
Exercise price
Footnotes: F1

ACLX transaction Derivative

SERIES B-2 PREFERRED STOCK

Conversion of derivative security

Transaction value
Shares: -533,389
Change %: -100%
Price
Shares after: 0
Date: 08 Feb 2022
Ownership: Direct
Underlying class: COMMON STOCK
Underlying amount: 533,389
Exercise price
Footnotes: F1

ACLX transaction Derivative

SERIES C PREFERRED STOCK

Conversion of derivative security

Transaction value
Shares: -433,196
Change %: -100%
Price
Shares after: 0
Date: 08 Feb 2022
Ownership: Direct
Underlying class: COMMON STOCK
Underlying amount: 433,196
Exercise price
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date.

Footnote F2

Represents a purchase from the underwriters in the Issuer's initial public offering.