Form 4 for BCAX Bicara Therapeutics Inc.
Accepted 2024-09-16 00:00:00 ET · period of report 2024-09-12 · accession 0000950170-24-106866 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2024-09-16 | 2024-09-16 | BCAX | Mazumdar-Shaw Kiran | Dir, 10% | C - Cnv Deriv | $0.00 | +6.17M | 324.6K | New | $0 |
| DMI | 2024-09-16 | 2024-09-16 | BCAX | Mazumdar-Shaw Kiran | Dir, 10% | C - Cnv Deriv | $0.00 | -56.99M | 0 | -100% | $0 |
| D | 2024-09-16 | 2024-09-12 | BCAX | Mazumdar-Shaw Kiran | Dir, 10% | A - Grant | $0.00 | +23.7K | 23.7K | New | $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 | 2024-09-16 | C | A | 432,736 | $0.00 | 432,736 | I By Carica Investments | — | — | (F5) Shares held by Carica Investments ("Carica"). The Reporting Person is the managing partner of Carica and disclaims beneficial ownership of such shares for purposes of Section 16 of the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| 2 | Common | Common Stock | 2024-09-16 | C | A | 4,327,365 | $0.00 | 4,443,122 | I By Biocon Limited | — | — | (F2) Shares held by Biocon Limited ("Biocon Ltd"). The Reporting Person is the managing member of Biocon Ltd and disclaims beneficial ownership of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| 3 | Common | Common Stock | 2024-09-16 | C | A | 1,080,775 | $0.00 | 1,080,775 | I By Biocon Pharma Inc. | — | — | (F3) Shares held by Biocon Pharma Inc. ("Biocon Pharma"). The Reporting Person is the managing member of Biocon Pharma and disclaims beneficial ownership of such shares for purposes of Section 16 of the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| 4 | Common | Common Stock | 2024-09-16 | C | A | 324,552 | $0.00 | 324,552 | I By Glentech International | — | — | (F4) Shares held by Glentech International ("Glentech"). The Reporting Person is the managing member of Glentech and disclaims beneficial ownership of such shares for purposes of Section 16 of Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| 5 | Derivative | Series Seed Redeemable Convertible Preferred Stock | 2024-09-16 | C | D | 9,990,144 | $0.00 | 0 | I By Glentech International | — · — to — | 1,080,775 Common Stock | (F4) Shares held by Glentech International ("Glentech"). The Reporting Person is the managing member of Glentech and disclaims beneficial ownership of such shares for purposes of Section 16 of Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. (F1) Upon the closing of the Issuer's initial public offering, each share of Series Seed Redeemable Convertible Preferred Stock (the "Preferred Stock") automatically converted into Common Stock on a 9.2435-to-one basis without payment of consideration. The Preferred Stock had no expiration date. |
| 6 | Derivative | Series Seed Redeemable Convertible Preferred Stock | 2024-09-16 | C | D | 3,000,000 | $0.00 | 0 | I By Carica Investments | — · — to — | 324,552 Common Stock | (F5) Shares held by Carica Investments ("Carica"). The Reporting Person is the managing partner of Carica and disclaims beneficial ownership of such shares for purposes of Section 16 of the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. (F1) Upon the closing of the Issuer's initial public offering, each share of Series Seed Redeemable Convertible Preferred Stock (the "Preferred Stock") automatically converted into Common Stock on a 9.2435-to-one basis without payment of consideration. The Preferred Stock had no expiration date. |
| 7 | Derivative | Series Seed Redeemable Convertible Preferred Stock | 2024-09-16 | C | D | 4,000,000 | $0.00 | 0 | I | — · — to — | 432,736 Common Stock | (F1) Upon the closing of the Issuer's initial public offering, each share of Series Seed Redeemable Convertible Preferred Stock (the "Preferred Stock") automatically converted into Common Stock on a 9.2435-to-one basis without payment of consideration. The Preferred Stock had no expiration date. |
| 8 | Derivative | Series Seed Redeemable Convertible Preferred Stock | 2024-09-16 | C | D | 40,000,000 | $0.00 | 0 | I By Biocon Pharma Inc. | — · — to — | 4,327,365 Common Stock | (F3) Shares held by Biocon Pharma Inc. ("Biocon Pharma"). The Reporting Person is the managing member of Biocon Pharma and disclaims beneficial ownership of such shares for purposes of Section 16 of the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. (F1) Upon the closing of the Issuer's initial public offering, each share of Series Seed Redeemable Convertible Preferred Stock (the "Preferred Stock") automatically converted into Common Stock on a 9.2435-to-one basis without payment of consideration. The Preferred Stock had no expiration date. |
| 9 | Derivative | Stock Option (Right to Buy) | 2024-09-12 | A | A | 23,746 | $0.00 | 23,746 | D By Biocon Limited | $18.00 · — to 2034-09-12 | 23,746 Common Stock | (F2) Shares held by Biocon Limited ("Biocon Ltd"). The Reporting Person is the managing member of Biocon Ltd and disclaims beneficial ownership of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that she is a beneficial owner of such shares for the purpose of Section 16 of the Exchange Act, or for any other purpose. (F6) The shares underlying this option shall vest upon the earlier of (i) August 16, 2025 and (ii) the date of the next Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continued service on such vesting date. |