Key facts
- This page summarizes Bain Capital Life Sciences Investors, LLC's Form 3 filing for Annexon, Inc. (ANNX).
- 0 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 30 May 2023, 21:55.
Bain Capital Life Sciences Investors, LLC - 25 May 2023 Form 3 Insider Report for Annexon, Inc. (ANNX)
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- ANNX
- Reported as of
- 25 May 2023
- Net transaction value
- $0
- SEC form
- 3
- Accepted by SEC
- 30 May 2023, 21:55:00 UTC
- Prior SEC filing
- 05 Dec 2022
- Next SEC filing
- 29 Dec 2023
- Source filing
- View source filing
- Reporting owner signature
- Bain Capital Life Sciences Investors, LLC, By: /s/ Ricky Sun, Title: Partner
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Bain Capital Life Sciences Investors, LLC filed Form 3 for Annexon, Inc. (ANNX) on 30 May 2023.
Change
- Previous filing in this sequence was filed on 05 Dec 2022.
- Current net transaction value: $0.
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
Official SEC source
View source filing
Ownership activity is grounded in SEC Form 3 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ANNX
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 5,401,926
- Date
- 25 May 2023
- Ownership
- See footnote
- Footnotes
- F1, F6, F7, F8, F9
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ANNX
holding
Derivative
Warrant (right to buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- Date
- 25 May 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 774,943
- Exercise price
- $5.81
- Footnotes
- F2, F4, F6, F7, F8, F9
ANNX
holding
Derivative
Pre-Funded Warrant (right to buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- Date
- 25 May 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 2,739,475
- Exercise price
- $0.001000
- Footnotes
- F3, F4, F5, F6, F7, F8, F9
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 9 footnotes
Footnote F1
Represents 2,940,627 shares of Common Stock held by Bain Capital Life Sciences Fund, L.P. ("BCLS Fund I"), 2,160,298 shares of Common Stock held by BCLS I Investco, LP ("BCLS I Investco") and 301,001 shares of Common Stock held by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS Fund I and BCLS I Investco, the "Bain Capital Life Sciences Entities").
Footnote F2
Represents a warrant to purchase 774,943 shares of Common Stock held by BCLS I Investco.
Footnote F3
Represents a pre-funded warrant to purchase 2,739,475 shares of Common Stock held by BCLS I Investco.
Footnote F4
BCLS I Investco is prohibited from exercising the warrant to purchase Common Stock referred to in footnote (2) above or the pre-funded warrant to purchase Common Stock referred to in footnote (3) above if the Bain Capital Life Sciences Entities would, in the aggregate, beneficially own more than 9.99% of the total number of shares of Common Stock then issued and outstanding immediately after giving effect to such exercise.
Footnote F5
The pre-funded warrant does not expire.
Footnote F6
Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS Fund I. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund I. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
Footnote F7
BCLS I Investco GP, LLC ("BCLS I Investco GP"), whose manager is BCLS Fund I, is the general partner of BCLS I Investco. As a result, each of BCLSP, BCLS Fund I and BCLS I Investco GP may be deemed to share voting and dispositive power with respect to the securities held by BCLS I Investco. Each of BCLSP, BCLS Fund I and BCLS I Investco GP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
Footnote F8
Boylston Coinvestors, LLC is the general partner of BCIPLS.
Footnote F9
Bain Capital Life Sciences Investors, LLC ("BCLSI") is the general partner of BCLSP and governs the investment strategy and decision making process with respect to investments held by BCIPLS. As a result, BCLSI may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.