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ANAPTYSBIO, INC — Director's Dealing 2017
Jan 31, 2017
32596_dirs_2017-01-31_a4ed79ae-bcbe-4536-981b-bfd44e6c192a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ANAPTYSBIO INC (ANAB)
CIK: 0001370053
Period of Report: 2017-01-31
Reporting Person: Topper James N (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-31 | Common Stock | C | 2228377 | $0.00 | Acquired | 2228377 | Indirect |
| 2017-01-31 | Common Stock | C | 733740 | $0.00 | Acquired | 733740 | Indirect |
| 2017-01-31 | Common Stock | C | 209095 | $0.00 | Acquired | 209095 | Indirect |
| 2017-01-31 | Common Stock | P | 311291 | $15.00 | Acquired | 1045031 | Indirect |
| 2017-01-31 | Common Stock | P | 88709 | $15.00 | Acquired | 297804 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-01-31 | Series B Preferred Stock | $0.00 | C | 1428571 | Disposed | Common Stock (1428571) | Indirect | |
| 2017-01-31 | Series C Preferred Stock | $0.00 | C | 604055 | Disposed | Common Stock (604055) | Indirect | |
| 2017-01-31 | Series C-1 Preferred Stock | $0.00 | C | 195751 | Disposed | Common Stock (195751) | Indirect | |
| 2017-01-31 | Series D Preferred Stock | $0.00 | C | 733740 | Disposed | Common Stock (733740) | Indirect | |
| 2017-01-31 | Series D Preferred Stock | $0.00 | C | 209095 | Disposed | Common Stock (209095) | Indirect |
Footnotes
F1: In connection with the consummation of the Issuer's initial public offering on January 31, 2017, each share of Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
F2: Represents shares held by Frazier Healthcare V, L.P., an affiliate of Frazier Healthcare Ventures. Dr. Topper is a General Partner of Frazier Healthcare. Mr. Topper disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F3: Represents shares held by Frazier Healthcare VII, L.P., an affiliate of Frazier Healthcare Ventures. Dr. Topper is a General Partner of Frazier Healthcare. Mr. Topper disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F4: Represents shares held by Frazier Healthcare VII-A, L.P., an affiliate of Frazier Healthcare Ventures. Dr. Topper is a General Partner of Frazier Healthcare. Mr. Topper disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.