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