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