InsiderTrades

Form 4 for RLYB Rallybio Corp

Accepted 2021-08-04 00:00:00 ET · period of report 2021-07-28 · accession 0000899243-21-031634 · 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
DI 2021-08-04 2021-07-28 RLYB HUNT RONALD Dir J - Other — +1.99M 1.99M New —
DMI 2021-08-04 2021-08-02 RLYB HUNT RONALD Dir P - Purchase $13.00 +307.7K 2.30M +15% +$4.00M
D 2021-08-04 2021-07-28 RLYB HUNT RONALD Dir A - Grant $0.00 +13.4K 13.4K New $0
DMI 2021-08-04 2021-07-28 RLYB HUNT RONALD Dir J - Other — -12.70M 0 -100% —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2021-07-28 J A 1,993,911 — 1,993,911 I See footnote — — (F1) The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred Units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. (F2) Shares are directly held by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC) is the general partner of NLVA-III LP. The Reporting Person is a managing director of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims beneficial ownership of the shares held by NLV-III, except to the extent of his pecuniary interest therein, if any.
2 Common Common Stock 2021-08-02 P A 153,846 $13.00 2,147,757 I See footnote — — (F2) Shares are directly held by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC) is the general partner of NLVA-III LP. The Reporting Person is a managing director of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims beneficial ownership of the shares held by NLV-III, except to the extent of his pecuniary interest therein, if any.
3 Common Common Stock 2021-08-02 P A 153,846 $13.00 2,301,603 I See footnote — — (F3) Shares are directly held by New Leaf Biopharma Opportunities II, L.P. ("NL BPO-II"). New Leaf BPO Associates II, L.P. ("NL BPOA-II LP") is the general partner of NL BPO-II and New Leaf BPO Management II, L.L.C. ("NL BPOA-II LLC) is the general partner of NL BPOA-II LP. The Reporting Person is a managing director of NL BPOA-II LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NL BPO-II. The Reporting Person disclaims beneficial ownership of the shares held by NL BPO-II, except to the extent of his pecuniary interest therein, if any.
4 Derivative Option (Right to Buy) 2021-07-28 A A 13,440 $0.00 13,440 D $13.00 · — to — 13,440 Common Stock (F5) The option vests as to the underlying shares of Common Stock on the earlier of July 28, 2022 and the date of the first annual meeting of stockholders of the Issuer following the closing of its initial public offering. The option expires on July 28, 2031.
5 Derivative Series A-1 Preferred Units 2021-07-28 J D 1,795,946 — 0 I See footnote — · — to — 282,044 Common Stock (F1) The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred Units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. (F2) Shares are directly held by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC) is the general partner of NLVA-III LP. The Reporting Person is a managing director of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims beneficial ownership of the shares held by NLV-III, except to the extent of his pecuniary interest therein, if any.
6 Derivative Series A-2 Preferred Units 2021-07-28 J D 8,742,654 — 0 I See footnote — · — to — 1,372,989 Common Stock (F1) The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred Units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. (F2) Shares are directly held by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC) is the general partner of NLVA-III LP. The Reporting Person is a managing director of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims beneficial ownership of the shares held by NLV-III, except to the extent of his pecuniary interest therein, if any.
7 Derivative Series B Preferred Units 2021-07-28 J D 2,157,838 — 0 I See footnote — · — to — 338,878 Common Stock (F1) The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred Units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. (F2) Shares are directly held by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC) is the general partner of NLVA-III LP. The Reporting Person is a managing director of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims beneficial ownership of the shares held by NLV-III, except to the extent of his pecuniary interest therein, if any.