0001104659-23-106578.txt : 20231004
0001104659-23-106578.hdr.sgml : 20231004
20231004061009
ACCESSION NUMBER: 0001104659-23-106578
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230929
FILED AS OF DATE: 20231004
DATE AS OF CHANGE: 20231004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Graf James A
CENTRAL INDEX KEY: 0001519672
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40427
FILM NUMBER: 231306537
MAIL ADDRESS:
STREET 1: 1450 2ND STREET
STREET 2: SUITE 247
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Graf Acquisition Partners IV LLC
CENTRAL INDEX KEY: 0001862622
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40427
FILM NUMBER: 231306536
BUSINESS ADDRESS:
STREET 1: C/O GRAF ACQUISITION CORP. IV
STREET 2: 1790 HUGHES LANDING BLVD.
CITY: THE WOODLANDS
STATE: TX
ZIP: 77380
BUSINESS PHONE: (346) 442-0819
MAIL ADDRESS:
STREET 1: C/O GRAF ACQUISITION CORP. IV
STREET 2: 1790 HUGHES LANDING BLVD.
CITY: THE WOODLANDS
STATE: TX
ZIP: 77380
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NKGen Biotech, Inc.
CENTRAL INDEX KEY: 0001845459
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3001 DAIMLER ST,
CITY: SANTA ANA
STATE: CA
ZIP: 92705
BUSINESS PHONE: (949) 396-6830
MAIL ADDRESS:
STREET 1: 3001 DAIMLER ST,
CITY: SANTA ANA
STATE: CA
ZIP: 92705
FORMER COMPANY:
FORMER CONFORMED NAME: Graf Acquisition Corp. IV
DATE OF NAME CHANGE: 20210210
4
1
tm2327629-1_4.xml
OWNERSHIP DOCUMENT
X0508
4
2023-09-29
0
0001845459
NKGen Biotech, Inc.
NKGN
0001862622
Graf Acquisition Partners IV LLC
1790 HUGHES LANDING BLVD., SUITE 400
THE WOODLANDS
TX
77380
0
0
1
0
0001519672
Graf James A
1790 HUGHES LANDING BLVD., SUITE 400
THE WOODLANDS
TX
77380
0
1
1
0
Interim CFO
0
Common Stock
2023-09-29
4
J
0
1773631
0
D
2436744
D
Private Placement Warrants
11.5
2023-09-29
4
A
0
4721533
1.50
A
2023-10-29
2028-09-29
Common Stock
4721533
4721533
D
Working Capital Warrants
11.5
2023-09-29
4
A
0
523140
1.50
A
2023-10-29
2028-09-29
Common Stock
523140
5244673
D
On September 29, 2023, Graf Acquisition Partners IV LLC (the "Sponsor") forfeited 1,773,631 shares of common stock of the NKGen Biotech, Inc. (f/k/a Graf Acquisition Corp. IV, the "Issuer") held by it back to the Issuer for no consideration in connection with the closing of the Issuer's business combination transaction (the "Closing").
The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.
The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. The Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with Issuer's initial public offering.
The Working Capital Warrants were issued to the Sponsor concurrently with the Closing pursuant to a working capital note between the Sponsor and the Issuer.
/s/ James A. Graf, managing member of Graf Acquisition Partners IV LLC
2023-10-04
/s/ James A. Graf
2023-10-04