Form 4 for ARTV Artiva Biotherapeutics, Inc.
Accepted 2024-07-22 00:00:00 ET · period of report 2024-07-22 · accession 0001415889-24-019907 · 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 | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | P - Purchase | $12.00 | +416.7K | 1.26M | +49% | +$5.00M |
| DI | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | J - Other | $10.20 | +256.3K | 843.8K | +44% | +$2.61M |
| DMI | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | C - Cnv Deriv | — | +355.0K | 525.3K | +208% | — |
| D | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | P - Purchase | $12.00 | +1.67M | 3.31M | +102% | +$20.00M |
| D | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | J - Other | $10.20 | +294.1K | 1.64M | +22% | +$3.00M |
| DM | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | C - Cnv Deriv | — | +997.3K | 1.02M | +5,321% | — |
| DMI | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | C - Cnv Deriv | — | -355.0K | 0 | -100% | — |
| DM | 2024-07-22 | 2024-07-22 | ARTV | GC Cell Corp | 10% | C - Cnv Deriv | — | -997.3K | 0 | -100% | — |
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 | 2024-07-22 | P | A | 416,666 | $12.00 | 1,260,512 | I By GC Cell Corporation | — | — | |
| 2 | Common | Common Stock | 2024-07-22 | J | A | 256,316 | $10.20 | 843,846 | I By GC Cell Corporation | — | — | (F5) The shares are held directly by GC Cell Corporation. GC Corp., a public Korean holdings company, is the parent company of GC Cell Corporation and is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and GC Cell Corporation and each disclaims beneficial ownership of all shares held by such entities, except to the extent of any pecuniary interest therein. |
| 3 | Common | Common Stock | 2024-07-22 | C | A | 62,181 | — | 587,530 | I By GC Cell Corporation | — | — | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F5) The shares are held directly by GC Cell Corporation. GC Corp., a public Korean holdings company, is the parent company of GC Cell Corporation and is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and GC Cell Corporation and each disclaims beneficial ownership of all shares held by such entities, except to the extent of any pecuniary interest therein. |
| 4 | Common | Common Stock | 2024-07-22 | C | A | 292,791 | — | 525,349 | I By GC Cell Corporation | — | — | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F5) The shares are held directly by GC Cell Corporation. GC Corp., a public Korean holdings company, is the parent company of GC Cell Corporation and is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and GC Cell Corporation and each disclaims beneficial ownership of all shares held by such entities, except to the extent of any pecuniary interest therein. |
| 5 | Common | Common Stock | 2024-07-22 | P | A | 1,666,666 | $12.00 | 3,306,900 | D | — | — | (F2) GC Corp., a public Korean holdings company, is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and each disclaims beneficial ownership of all shares held by CG Corp., except to the extent of any pecuniary interest therein. |
| 6 | Common | Common Stock | 2024-07-22 | J | A | 294,117 | $10.20 | 1,640,234 | D | — | — | (F2) GC Corp., a public Korean holdings company, is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and each disclaims beneficial ownership of all shares held by CG Corp., except to the extent of any pecuniary interest therein. |
| 7 | Common | Common Stock | 2024-07-22 | C | A | 330,095 | — | 1,346,117 | D | — | — | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F2) GC Corp., a public Korean holdings company, is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and each disclaims beneficial ownership of all shares held by CG Corp., except to the extent of any pecuniary interest therein. |
| 8 | Common | Common Stock | 2024-07-22 | C | A | 667,185 | — | 1,016,022 | D | — | — | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F2) GC Corp., a public Korean holdings company, is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and each disclaims beneficial ownership of all shares held by CG Corp., except to the extent of any pecuniary interest therein. |
| 9 | Derivative | Series B Preferred Stock | 2024-07-22 | C | D | 62,181 | — | 0 | I By GC Cell Corporation | — · — to — | 62,181 Common Stock | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F5) The shares are held directly by GC Cell Corporation. GC Corp., a public Korean holdings company, is the parent company of GC Cell Corporation and is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and GC Cell Corporation and each disclaims beneficial ownership of all shares held by such entities, except to the extent of any pecuniary interest therein. |
| 10 | Derivative | Series A Preferred Stock | 2024-07-22 | C | D | 292,791 | — | 0 | I By GC Cell Corporation | — · — to — | 292,791 Common Stock | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F5) The shares are held directly by GC Cell Corporation. GC Corp., a public Korean holdings company, is the parent company of GC Cell Corporation and is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and GC Cell Corporation and each disclaims beneficial ownership of all shares held by such entities, except to the extent of any pecuniary interest therein. |
| 11 | Derivative | Series A Preferred Stock | 2024-07-22 | C | D | 667,185 | — | 0 | D | — · — to — | 667,185 Common Stock | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F2) GC Corp., a public Korean holdings company, is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and each disclaims beneficial ownership of all shares held by CG Corp., except to the extent of any pecuniary interest therein. |
| 12 | Derivative | Series B Preferred Stock | 2024-07-22 | C | D | 330,095 | — | 0 | D | — · — to — | 330,095 Common Stock | (F1) Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. (F2) GC Corp., a public Korean holdings company, is ultimately controlled by its board of directors, consisting of Mr. Yong-Jun Huh, Huh II-Sup, Park Yong-Tae and Kim Seok-Hwa. Each of these individual directors of GC Corp. may be deemed to share voting and investment power over the shares held by GC Corp. and each disclaims beneficial ownership of all shares held by CG Corp., except to the extent of any pecuniary interest therein. |