0001062993-23-013979.txt : 20230623 0001062993-23-013979.hdr.sgml : 20230623 20230623160955 ACCESSION NUMBER: 0001062993-23-013979 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230621 FILED AS OF DATE: 20230623 DATE AS OF CHANGE: 20230623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EDELMAN JOSEPH CENTRAL INDEX KEY: 0001164426 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40947 FILM NUMBER: 231037763 MAIL ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERCEPTIVE ADVISORS LLC CENTRAL INDEX KEY: 0001224962 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40947 FILM NUMBER: 231037765 BUSINESS ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5300 MAIL ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERCEPTIVE LIFE SCIENCES MASTER FUND LTD CENTRAL INDEX KEY: 0001249675 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40947 FILM NUMBER: 231037764 BUSINESS ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5340 MAIL ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LianBio CENTRAL INDEX KEY: 0001831283 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 103 CARNEGIE CENTER DRIVE, SUITE 309 CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: (609) 486-2308 MAIL ADDRESS: STREET 1: 103 CARNEGIE CENTER DRIVE, SUITE 309 CITY: PRINCETON STATE: NJ ZIP: 08540 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4 2023-06-21 0001831283 LianBio LIAN 0001224962 PERCEPTIVE ADVISORS LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 1 0 1 0 0001249675 PERCEPTIVE LIFE SCIENCES MASTER FUND LTD 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 1 0 1 0 0001164426 EDELMAN JOSEPH 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 1 0 1 0 0 Stock Option (Right to Buy) 2.40 2023-06-21 4 A 0 36300 0 A 2033-06-21 Ordinary Shares 36300 36300 I See Footnotes Stock Option (Right to Buy) 2.40 2023-06-21 4 A 0 36300 0 A 2033-06-21 Ordinary Shares 36300 36300 I See Footnotes The shares underlying the option shall vest and become exercisable in full on June 21, 2024, the first anniversary of the grant date, subject to Adam Stone providing continuous service to the Issuer through such date. The shares underlying the option shall vest and become exercisable in full on June 21, 2024, the first anniversary of the grant date, subject to Konstantin Poukalov providing continuous service to the Issuer through such date. Consists of options to purchase shares of the Issuer's ordinary shares awarded to Mr. Stone in connection with his role as a member of the Issuer's Board of Directors. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase ordinary shares of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset. Consists of options to purchase shares of the Issuer's ordinary shares awarded to Mr. Poukalov in connection with his role as a member of the Issuer's Board of Directors. Mr. Poukalov is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase ordinary shares of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Poukalov's board service through a partial management fee offset. Joseph Edelman is the managing member of the Advisor. The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Each of Mr. Edelman, the Master Fund and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities reported on this form, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman, the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. /s/ Joseph Edelman - for Perceptive Advisors LLC, By: Joseph Edelman, its managing member 2023-06-23 /s/ Joseph Edelman - for Perceptive Life Sciences Master Fund Ltd., By: Perceptive Advisors LLC, its investment manager, By: Joseph Edelman, its managing member 2023-06-23 /s/ Joseph Edelman 2023-06-23