Statement of Changes in Beneficial Ownership (4)
August 17 2022 - 9:26AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Fletcher Aaron G.L. |
2. Issuer Name and Ticker or Trading Symbol
IN8BIO, INC.
[
INAB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Last)
(First)
(Middle)
C/O BIOS EQUITY PARTNERS, 1751 RIVER RUN SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/16/2022 |
|
(Street)
FORT WORTH, TX 76107
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 8/16/2022 | | P |
V
| 217891 | A | $1.90 | 217891 | I | See footnote (1)(2)(3)(4)(5) |
| Common Stock | 8/16/2022 | | P |
V
| 1349218 | A | $1.90 | 3574534 | I | See footnote (1)(2)(3)(4)(6) |
| Common Stock | 8/16/2022 | | P |
V
| 206575 | A | $1.90 | 540287 | I | See footnote (1)(2)(3)(4)(7) |
| Common Stock | | | | | | | | 574432 | I | See footnote (1)(2)(3)(4)(8) |
| Common Stock | | | | | | | | 1876624 | I | See footnote (1)(2)(3)(4)(9) |
| Common Stock | | | | | | | | 359374 | I | See footnote (1)(2)(3)(4)(10) |
| Common Stock | | | | | | | | 997433 | I | See footnote (1)(2)(3)(4)(11) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. |
| (2) | Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. |
| (3) | For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| (4) | Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. |
| (5) | The securities are directly held by Bios Fund III NT. |
| (6) | The securities are directly held by Bios Fund III QP. |
| (7) | The securities are directly held by Bios Fund III. |
| (8) | The securities are directly held by Bios Fund II, LP ("Bios Fund II"). |
| (9) | The securities are directly held by Bios Fund II QP. |
| (10) | The securities are directly held by Bios Fund II NT. |
| (11) | The securities are directly held by BIOS Incysus. |
Remarks:
This Form 4 is the first of two Forms 4 filed relating to the same event. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting person. The second Form 4 will be filed by Leslie W. Kreis as the designated filer. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Fletcher Aaron G.L.
C/O BIOS EQUITY PARTNERS
1751 RIVER RUN SUITE 400
FORT WORTH, TX 76107 | X | X |
|
|
BIOS Equity Partners III, LP
C/O BIOS EQUITY PARTNERS
1751 RIVER RUN SUITE 400
FORT WORTH, TX 76107 | X | X |
|
|
Cavu Management, LP
C/O BIOS EQUITY PARTNERS
1751 RIVER RUN SUITE 400
FORT WORTH, TX 76107 | X | X |
|
|
BIOS Capital Management, LP
C/O BIOS EQUITY PARTNERS
1751 RIVER RUN SUITE 400
FORT WORTH, TX 76107 | X | X |
|
|
BIOS Advisors GP, LLC
C/O BIOS EQUITY PARTNERS
1751 RIVER RUN SUITE 400
FORT WORTH, TX 76107 | X | X |
|
|
Signatures
|
| /s/ Aaron G.L. Fletcher | | 8/16/2022 |
| **Signature of Reporting Person | Date |
| Bios Equity Partners III, LP By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager | | 8/16/2022 |
| **Signature of Reporting Person | Date |
| Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr, Manager | | 8/16/2022 |
| **Signature of Reporting Person | Date |
| Bios Capital Management, LP By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager | | 8/16/2022 |
| **Signature of Reporting Person | Date |
| Bios Advisors GP, LLC By: /s/ Aaron Glenn Louis Fletcher, Manager | | 8/16/2022 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
IN8bio (NASDAQ:INAB)
Historical Stock Chart
From Jun 2024 to Jul 2024
IN8bio (NASDAQ:INAB)
Historical Stock Chart
From Jul 2023 to Jul 2024
