InsiderTrades

Form 4 for RLYB Rallybio Corp

Accepted 2021-08-04 00:00:00 ET · period of report 2021-07-28 · accession 0000899243-21-031635 · 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 2021-08-02 RLYB Hopfner Robert Lorne Dir P - Purchase $13.00 +576.9K 2.27M +34% +$7.50M
DI 2021-08-04 2021-07-28 RLYB Hopfner Robert Lorne Dir J - Other — +1.69M 1.69M New —
D 2021-08-04 2021-07-28 RLYB Hopfner Robert Lorne Dir A - Grant $0.00 +13.4K 13.4K New $0
DI 2021-08-04 2021-07-28 RLYB Hopfner Robert Lorne Dir J - Other — -10.79M 0 -100% —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2021-08-02 P A 576,923 $13.00 2,267,411 I Pivotal bioVenture Partners Fund I L.P — — (F2) Shares of common stock are held directly by Pivotal bioVenture Partners Fund I L.P. ("Pivotal"). Pivotal bioVenture Partners Fund I G.P., L.P. is the general partner of Pivotal. Dr. Hopfner is a managing director at Pivotal bioVenture Partners and may be deemed to share voting and dispositive power over the shares held by Pivotal. Dr. Hopfner disclaims beneficial ownership of the shares held by Pivotal except to the extent of his pecuniary interest therein.
2 Common Common Stock 2021-07-28 J A 1,694,388 — 1,694,388 I Pivotal bioVenture Partners Fund I L.P — — (F1) The Series B Preferred Units (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 of common stock are held directly by Pivotal bioVenture Partners Fund I L.P. ("Pivotal"). Pivotal bioVenture Partners Fund I G.P., L.P. is the general partner of Pivotal. Dr. Hopfner is a managing director at Pivotal bioVenture Partners and may be deemed to share voting and dispositive power over the shares held by Pivotal. Dr. Hopfner disclaims beneficial ownership of the shares held by Pivotal except to the extent of his pecuniary interest therein.
3 Derivative Option (Right to Buy) 2021-07-28 A A 13,440 $0.00 13,440 D $13.00 · — to — 13,440 Common Stock (F4) 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.
4 Derivative Series B Preferred Units 2021-07-28 J D 10,789,193 — 0 I Pivotal bioVenture Partners Fund I L.P. — · — to — 1,693,488 Common Stock (F1) The Series B Preferred Units (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 of common stock are held directly by Pivotal bioVenture Partners Fund I L.P. ("Pivotal"). Pivotal bioVenture Partners Fund I G.P., L.P. is the general partner of Pivotal. Dr. Hopfner is a managing director at Pivotal bioVenture Partners and may be deemed to share voting and dispositive power over the shares held by Pivotal. Dr. Hopfner disclaims beneficial ownership of the shares held by Pivotal except to the extent of his pecuniary interest therein.