BioAtla, Inc. — Director's Dealing 2020

Dec 16, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: BioAtla, Inc. (BCAB)
CIK: 0001826892
Period of Report: 2020-12-15

Reporting Person: Himalaya Parent LLC (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6220050	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series D Preferred Stock	$		Common Stock (2462254)		Direct

Footnotes

F1: Jay M. Short and Carolyn Anderson Short are the managers of Himalaya Parent LLC and collectively make investment decisions on the behalf of the entity. Mr. Short and Ms. Anderson Short disclaim beneficial ownership of the reported securities except to the extent of his or her pecuniary interest therein.

F2: Each share of Series D Preferred Stock is convertible at any time, at the holder's election, into Common Stock, based on the then-applicable conversion rate and has no expiration date.

F3: The shares of Series D Preferred Stock will convert automatically into 2,462,254 shares of Common Stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split which became effective on December 2, 2020.