0001213900-23-065297.txt : 20230810 0001213900-23-065297.hdr.sgml : 20230810 20230810090321 ACCESSION NUMBER: 0001213900-23-065297 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230809 FILED AS OF DATE: 20230810 DATE AS OF CHANGE: 20230810 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Opportunity, LLC CENTRAL INDEX KEY: 0001728970 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41008 FILM NUMBER: 231157437 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital Fund IX, L.P. CENTRAL INDEX KEY: 0001750117 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41008 FILM NUMBER: 231157438 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: (650) 688-0818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Opportunity Fund Holdings, L.P. CENTRAL INDEX KEY: 0001930214 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41008 FILM NUMBER: 231157436 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital IX, LLC CENTRAL INDEX KEY: 0001750698 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41008 FILM NUMBER: 231157439 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IO Biotech, Inc. CENTRAL INDEX KEY: 0001865494 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 870909276 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: OLE MAALOES VEH 3 CITY: COPENHAGEN STATE: G7 ZIP: 2200 BUSINESS PHONE: 4570702980 MAIL ADDRESS: STREET 1: OLE MAALOES VEH 3 CITY: COPENHAGEN STATE: G7 ZIP: 2200 4 1 ownership.xml X0508 4 2023-08-09 1 0001865494 IO Biotech, Inc. IOBT 0001750698 Vivo Capital IX, LLC C/O VIVO CAPITAL LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001750117 Vivo Capital Fund IX, L.P. C/O VIVO CAPITAL LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001728970 Vivo Opportunity, LLC C/O VIVO CAPITAL LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001930214 Vivo Opportunity Fund Holdings, L.P. C/O VIVO CAPITAL LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0 Common Stock 2023-08-09 4 P 0 3157894 1.90 A 3157894 I By Vivo Opportunity Fund Holdings, L.P. Common Stock 3015545 I By: Vivo Capital Fund IX, L.P. Warrants (Right to Buy) 2.47 2023-08-09 4 P 0 3157894 0.125 A 2023-08-09 Common Stock 3157894 3157894 I By Vivo Opportunity Fund Holdings, L.P. Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein. The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein. These warrants expire at 5:00 p.m. on the earlier of (i) February 9, 2027, and (ii) one day prior to the closing of an Acquisition of the Issuer, as defined in the Form of Warrant, attached as Exhibit 4.1 to the Issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on August 7, 2023, provided that the holder will be prohibited from exercising these warrants if, after giving effect to such exercise, the holder (together with such holder's affiliates and any other persons acting as a group together) would beneficially own in excess of 9.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. /s/ Hongbo Lu, as a managing member of Vivo Opportunity, LLC 2023-08-10 /s/ Hongbo Lu, as a managing member of Vivo Opportunity, LLC, the general partner of Vivo Opportunity Fund Holdings, L.P. 2023-08-10 /s/ Jack Nielsen, as a Managing Member of Vivo Capital IX, LLC 2023-08-10 /s/ Jack Nielsen, as a Managing Member of Vivo Capital IX, LLC, the General Partner of Vivo Capital Fund IX, L.P. 2023-08-10