0001209191-22-008281.txt : 20220210 0001209191-22-008281.hdr.sgml : 20220210 20220210084109 ACCESSION NUMBER: 0001209191-22-008281 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220208 FILED AS OF DATE: 20220210 DATE AS OF CHANGE: 20220210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: George Simeon CENTRAL INDEX KEY: 0001595117 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41259 FILM NUMBER: 22610951 MAIL ADDRESS: STREET 1: 161 WASHINGTON STREET STREET 2: SUITE 500 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR ONE CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001853723 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41259 FILM NUMBER: 22610955 BUSINESS ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: (610) 766-2240 MAIL ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR One Capital Fund I Aggregator LP CENTRAL INDEX KEY: 0001848319 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41259 FILM NUMBER: 22610953 BUSINESS ADDRESS: STREET 1: C/O DESIGN THERAPEUTICS, INC. STREET 2: 6005 HIDDEN VALLEY ROAD, SUITE 110 CITY: CARLSBAD STATE: CA ZIP: 92011 BUSINESS PHONE: 858-293-4900 MAIL ADDRESS: STREET 1: C/O DESIGN THERAPEUTICS, INC. STREET 2: 6005 HIDDEN VALLEY ROAD, SUITE 110 CITY: CARLSBAD STATE: CA ZIP: 92011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR One Co-Invest II Manager, LLC CENTRAL INDEX KEY: 0001910324 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41259 FILM NUMBER: 22610950 BUSINESS ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-766-2240 MAIL ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR ONE CAPITAL PARTNERS I, LP CENTRAL INDEX KEY: 0001853724 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41259 FILM NUMBER: 22610954 BUSINESS ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: (610) 766-2240 MAIL ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR One Co-Invest II, LLC CENTRAL INDEX KEY: 0001867644 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41259 FILM NUMBER: 22610952 BUSINESS ADDRESS: STREET 1: C/O SR ONE CAPITAL MANAGEMENT, LP STREET 2: 985 OLD EAGLE SCHOOL ROAD, SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-567-1000 MAIL ADDRESS: STREET 1: C/O SR ONE CAPITAL MANAGEMENT, LP STREET 2: 985 OLD EAGLE SCHOOL ROAD, SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Arcellx, Inc. CENTRAL INDEX KEY: 0001786205 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 472855917 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 25 WEST WATKINS MILL ROAD STREET 2: SUITE A CITY: GAITHERSBURG STATE: MD ZIP: 20878 BUSINESS PHONE: 240-723-6641 MAIL ADDRESS: STREET 1: 25 WEST WATKINS MILL ROAD STREET 2: SUITE A CITY: GAITHERSBURG STATE: MD ZIP: 20878 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-02-08 0 0001786205 Arcellx, Inc. ACLX 0001853723 SR ONE CAPITAL MANAGEMENT, LLC 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001853724 SR ONE CAPITAL PARTNERS I, LP 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001848319 SR One Capital Fund I Aggregator LP 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001867644 SR One Co-Invest II, LLC 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001595117 George Simeon 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001910324 SR One Co-Invest II Manager, LLC 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 Common Stock 2022-02-08 4 C 0 1550309 A 1550309 I See Footnote Common Stock 2022-02-08 4 C 0 666651 A 2216960 I See Footnote Common Stock 2022-02-08 4 C 0 533389 A 2750349 I See Footnote Common Stock 2022-02-08 4 C 0 649795 A 3400144 I See Footnote Common Stock 2022-02-08 4 P 0 66667 15.00 A 3466811 I See Footnote Common Stock 2022-02-08 4 C 0 433196 A 433196 I See Footnote Common Stock 2022-02-08 4 P 0 1600000 15.00 A 2033196 I See Footnote Series A Preferred Stock 2022-02-08 4 C 0 1550309 D Common Stock 1550309 0 I See Footnote Series B-1 Preferred Stock 2022-02-08 4 C 0 666651 D Common Stock 666651 0 I See Footnote Series B-2 Preferred Stock 2022-02-08 4 C 0 533389 D Common Stock 533389 0 I See Footnote Series C Preferred Stock 2022-02-08 4 C 0 649795 D Common Stock 649795 0 I See Footnote Series C Preferred Stock 2022-02-08 4 C 0 433196 D Common Stock 433196 0 I See Footnote All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date. The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. SR One Capital Fund I Aggregator, LP purchased 66,667 shares of Common Stock of the Issuer in connection with the Issuer's public offering. The reported securities are held directly by SR One Co-Invest II, LLC. SR One Co-Invest Manager II, LLC is the managing member of SR One Co-Invest II, LLC, and SR One Capital Management, LLC is the managing member of SR One Co-Invest Manager II, LLC. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Co-Invest Manager II, LLC, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. SR One Co-Invest II, LLC purchased 1,600,000 shares of Common Stock of the Issuer in connection with the Issuer's public offering. SR ONE CAPITAL MANAGEMENT, LLC, By: /s/ Simeon George, Member 2022-02-10 SR ONE CAPITAL PARTNERS I, LP, By: SR One Capital Management, LLC, its General Partner, By: /s/ Simeon George, Member 2022-02-10 SR ONE CAPITAL FUND I AGGREGATOR, L.P., By: SR One Capital Partners I, LP, its General Partner, By: SR One Capital Management, LLC, its General Partner, By: /s/ Simeon George, Member 2022-02-10 SR ONE CO-INVEST II, LLC, by SR One Co-Invest Manager II, LLC, its Managing Member, By: SR One Capital Management, LLC, its Managing Member, By: /s/ Simeon George, Managing Member 2022-02-10 /s/ Simeon George 2022-02-10 SR ONE CO-INVEST MANAGER II, LLC, By: SR One Capital Management, LLC, its Managing Member, By: /s/ Simeon George, Managing Member 2022-02-10