Form 4 for ABSI Absci Corp
Accepted 2021-07-28 00:00:00 ET · period of report 2021-07-26 · accession 0000899243-21-030340 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-28 | 2021-07-26 | ABSI | Phoenix Venture Partners II LP | 10% | C - Cnv Deriv | — | +14.19M | 14.12M | New | — |
| DM | 2021-07-28 | 2021-07-26 | ABSI | Phoenix Venture Partners II LP | 10% | C - Cnv Deriv | $0.00 | -4.08M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-26 | C | A | 2,590,991 | — | 13,760,708 | D | — | — | (F6) The Series B Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 2 | Common | Common Stock | 2021-07-26 | C | A | 273,130 | — | 14,033,838 | D | — | — | (F7) The Series C Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 3 | Common | Common Stock | 2021-07-26 | C | A | 33,741 | — | 14,151,927 | D | — | — | (F9) The Series D-2 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 4 | Common | Common Stock | 2021-07-26 | C | A | 33,675 | — | 14,185,602 | D | — | — | (F10) The Series E Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 5 | Common | Common Stock | 2021-07-26 | C | A | 4,954,650 | — | 11,169,717 | D | — | — | (F5) The Series A-3 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 6 | Common | Common Stock | 2021-07-26 | C | A | 533,735 | — | 6,215,067 | D | — | — | (F4) The Series A-2 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 7 | Common | Common Stock | 2021-07-26 | C | A | 5,681,332 | — | 5,681,332 | D | — | — | (F1) The Series A-1 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 8 | Common | Common Stock | 2021-07-26 | C | A | 84,348 | — | 14,118,186 | D | — | — | (F8) The Series D-1 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. (F2) Reflects one-for-3.3031 stock split which became effective on July 26, 2021. (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
| 9 | Derivative | Series A-2 Preferred Stock | 2021-07-26 | C | D | 161,586 | $0.00 | 0 | D | — · — to — | 533,735 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F4) The Series A-2 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |
| 10 | Derivative | Series A-3 Preferred Stock | 2021-07-26 | C | D | 1,500,000 | $0.00 | 0 | D | — · — to — | 4,954,650 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F5) The Series A-3 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |
| 11 | Derivative | Series A-1 Preferred Stock | 2021-07-26 | C | D | 1,720,000 | $0.00 | 0 | D | — · — to — | 5,681,332 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F1) The Series A-1 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |
| 12 | Derivative | Common Stock Warrant | 2021-07-26 | C | A | 307,211 | $0.00 | 0 | D | $1.00 · — to 2026-09-29 | 307,211 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F12) The warrant for 93,007 shares of Series A-4 Preferred Stock converted into a warrant for 307,211 shares of Common Stock upon the one-for-3.3031 reverse split. |
| 13 | Derivative | Series A-4 Preferred Stock Warrant | 2021-07-26 | C | D | 93,007 | $0.00 | 0 | D | $1.00 · — to 2026-09-29 | 93,007 Series A-4 Preferred Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F11) Prior to July 26, 2021, these warrants were exercisable by the holder at its option for shares of the Issuer's Series A-4 Preferred Stock at an exercise price of $1.00 per share any time prior to their expiration date. |
| 14 | Derivative | Series E Preferred Stock | 2021-07-26 | C | D | 10,195 | $0.00 | 0 | D | — · — to — | 33,675 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F10) The Series E Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |
| 15 | Derivative | Series B Preferred Stock | 2021-07-26 | C | D | 784,412 | $0.00 | 0 | D | — · — to — | 2,590,991 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F6) The Series B Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |
| 16 | Derivative | Series D-1 Preferred Stock | 2021-07-26 | C | D | 25,536 | $0.00 | 0 | D | — · — to — | 84,348 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F8) The Series D-1 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |
| 17 | Derivative | Series D-2 Preferred Stock | 2021-07-26 | C | D | 10,215 | $0.00 | 0 | D | — · — to — | 33,741 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F9) The Series D-2 Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |
| 18 | Derivative | Series C Preferred Stock | 2021-07-26 | C | D | 82,689 | $0.00 | 0 | D | — · — to — | 273,130 Common Stock | (F3) Phoenix General Partner II LLC, as the sole general partner of Phoenix Venture Partners II LP, beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. (F7) The Series C Preferred Stock converted into Common Stock on a one-for-3.3031 basis and had no expiration date. |