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