SEC Form 4 · accession 0001209191-17-006695

ANAPTYSBIO, INC · ANAB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

A/S Novo

10% Owner

Period of report

Jan 31, 2017

Accepted (ET)

Feb 1, 2017 · 4:22 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001370053

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Jan 31, 2017	C	1,428,571	—	A	1,428,571	D
Common Stock^F1	Jan 31, 2017	C	486,820	—	A	1,915,391	D
Common Stock^F1	Jan 31, 2017	C	312,986	—	A	2,228,377	D
Common Stock^F1	Jan 31, 2017	C	673,454	—	A	2,901,831	D
Common Stock^F2	Jan 31, 2017	X	81,673	—	A	2,983,504	D
Common Stock^F3	Jan 31, 2017	P	50,000	$15.00	A	3,033,504	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F1	—	Jan 31, 2017	C	1,428,571	D	—	—	Common Stock	1,428,571	D
Series C Preferred Stock^F1	—	Jan 31, 2017	C	486,820	D	—	—	Common Stock	486,820	D
Series C-1 Preferred Stock^F1	—	Jan 31, 2017	C	312,986	D	—	—	Common Stock	312,986	D
Series D Preferred Stock^F1	—	Jan 31, 2017	C	673,454	D	—	—	Common Stock	673,454	D
Series C Preferred Stock Warrant (Right to Buy)^F2	$4.55	Jan 31, 2017	X	117,235	D	—	Nov 4, 2018	Common Stock	117,235	D

Explanation of responses

F1The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock.
F2Immediately prior to the IPO Closing, the warrant became exercisable for shares of common stock. The shares acquired upon exercise of the warrant were acquired through a net exercise procedure in accordance with the terms of the warrant and did not involve any sale of shares. All shares received upon such exercise are subject to a lock-up agreement between the Reporting Person and the underwriters.
F3Represents a purchase from the underwriters in the Issuer's initial public offering.

Remarks

Novo A/S is a Danish limited liability company. The board of directors of Novo A/S (the "Novo Board"), currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard and Per Wold-Olsen, has shared investment and voting control over the securities of the Issuer held by Novo A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares.