0001104659-24-008797.txt : 20240131
0001104659-24-008797.hdr.sgml : 20240131
20240131161143
ACCESSION NUMBER: 0001104659-24-008797
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240130
FILED AS OF DATE: 20240131
DATE AS OF CHANGE: 20240131
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GORDON CARL L
CENTRAL INDEX KEY: 0001282930
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41929
FILM NUMBER: 24583013
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ArriVent Biopharma, Inc.
CENTRAL INDEX KEY: 0001868279
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 18 CAMPUS BLVD.
STREET 2: SUITE 100
CITY: NEWTOWN SQUARE
STATE: PA
ZIP: 19073-3269
BUSINESS PHONE: 240-780-6356
MAIL ADDRESS:
STREET 1: 18 CAMPUS BLVD.
STREET 2: SUITE 100
CITY: NEWTOWN SQUARE
STATE: PA
ZIP: 19073-3269
4
1
tm244611-3_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-01-30
0
0001868279
ArriVent Biopharma, Inc.
AVBP
0001282930
GORDON CARL L
C/O ORBIMED ADVISORS LLC
601 LEXINGTON AVENUE, 54TH FLOOR
NEW YORK
NY
10022
1
0
1
0
0
Common Stock
2024-01-30
4
C
0
821827
A
821827
I
See footnotes
Common Stock
2024-01-30
4
C
0
821827
A
821827
I
See footnotes
Common Stock
2024-01-30
4
C
0
469615
A
1291442
I
See footnotes
Common Stock
2024-01-30
4
C
0
469615
A
1291442
I
See footnotes
Common Stock
2024-01-30
4
P
0
222222
18.00
A
1513664
I
See footnotes
Common Stock
2024-01-30
4
P
0
222222
18.00
A
1513664
I
See footnotes
Series A Preferred Stock
2024-01-30
4
C
0
821827
D
Common Stock
821827
0
I
See footnotes
Series A Preferred Stock
2024-01-30
4
C
0
821827
D
Common Stock
821827
0
I
See footnotes
Series B Preferred Stock
2024-01-30
4
C
0
469615
D
Common Stock
469615
0
I
See footnotes
Series B Preferred Stock
2024-01-30
4
C
0
469615
D
Common Stock
469615
0
I
See footnotes
The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.
These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.
These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.
Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.
Reflects shares purchased in the Issuer's initial public offering.
The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.
/s/ James Kastenmayer, Attorney-in-Fact for Carl L. Gordon
2024-01-31