0001104659-22-095951.txt : 20220830 0001104659-22-095951.hdr.sgml : 20220830 20220830131609 ACCESSION NUMBER: 0001104659-22-095951 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220826 FILED AS OF DATE: 20220830 DATE AS OF CHANGE: 20220830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund II, LP CENTRAL INDEX KEY: 0001714576 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213678 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund II QP, LP CENTRAL INDEX KEY: 0001716869 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213677 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund II NT, LP CENTRAL INDEX KEY: 0001728851 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213679 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET, SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET, SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Incysus Co-Invest I, LP CENTRAL INDEX KEY: 0001740029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213676 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bios Equity Partners II, LP CENTRAL INDEX KEY: 0001813313 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213675 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-381-5370 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fletcher Aaron G.L. CENTRAL INDEX KEY: 0001789490 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213680 MAIL ADDRESS: STREET 1: 40 GUEST STREET CITY: BOSTON STATE: MA ZIP: 02135 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cavu Management, LP CENTRAL INDEX KEY: 0001813270 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213673 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-381-5370 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cavu Advisors, LLC CENTRAL INDEX KEY: 0001813310 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213681 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-381-5370 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Equity Partners III, LP CENTRAL INDEX KEY: 0001831976 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39692 FILM NUMBER: 221213674 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN STREET 2: SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-9197 MAIL ADDRESS: STREET 1: 1751 RIVER RUN STREET 2: SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IN8BIO, INC. CENTRAL INDEX KEY: 0001740279 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 825462585 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: EMPIRE STATE BUILDING STREET 2: 350 5TH AVENUE, SUITE 5330 CITY: NEW YORK STATE: NY ZIP: 10118 BUSINESS PHONE: (646) 600-6438 MAIL ADDRESS: STREET 1: EMPIRE STATE BUILDING STREET 2: 350 5TH AVENUE, SUITE 5330 CITY: NEW YORK STATE: NY ZIP: 10118 FORMER COMPANY: FORMER CONFORMED NAME: Incysus Therapeutics, Inc. DATE OF NAME CHANGE: 20180510 4 1 tm2224783-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-08-26 0 0001740279 IN8BIO, INC. INAB 0001789490 Fletcher Aaron G.L. C/O BIOS EQUITY PARTNERS, 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 1 0 1 0 0001728851 BIOS Fund II NT, LP 1401 FOCH STREET, SUITE 140 FORT WORTH TX 76107 1 0 1 0 0001714576 BIOS Fund II, LP 1401 FOCH STREET SUITE 140 FORT WORTH TX 76107 1 0 1 0 0001716869 BIOS Fund II QP, LP 1401 FOCH STREET SUITE 140 FORT WORTH TX 76107 1 0 1 0 0001740029 BIOS Incysus Co-Invest I, LP 1401 FOCH STREET SUITE 140 FORT WORTH TX 76107 1 0 1 0 0001813313 Bios Equity Partners II, LP 1751 RIVER RUN, SUITE 400 FORT WORTH TX 76107 1 0 1 0 0001831976 BIOS Equity Partners III, LP 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 1 0 1 0 0001813270 Cavu Management, LP 1751 RIVER RUN, SUITE 400 FORT WORTH TX 76107 1 0 1 0 0001813310 Cavu Advisors, LLC 1751 RIVER RUN, SUITE 400 FORT WORTH TX 76107 1 0 1 0 Common Stock 2022-08-26 5 P 0 E 1377 2.01 A 584784 I See footnote Common Stock 2022-08-29 5 P 0 E 4912 2.02 A 589696 I See footnote Common Stock 2022-08-26 5 P 0 E 8531 2.01 A 3621100 I See footnote Common Stock 2022-08-29 5 P 0 E 30428 2.02 A 3651528 I See footnote Common Stock 2022-08-26 5 P 0 E 1306 2.01 A 554416 I See footnote Common Stock 2022-08-29 5 P 0 E 4660 2.02 A 559076 I See footnote Common Stock 574432 I See footnote Common Stock 1876624 I See footnote Common Stock 251211 I See footnote Common Stock 997433 I See footnote Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. The securities are directly held by Bios Fund III NT. The securities are directly held by Bios Fund III QP. The securities are directly held by Bios Fund III. The securities are directly held by Bios Fund II, LP ("Bios Fund II"). The securities are directly held by Bios Fund II QP. The securities are directly held by Bios Fund II NT. The securities are directly held by BIOS Incysus. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.97 to $2.08, inclusive. The reporting persons undertake to provide to IN8BIO, Inc., any security holder of IN8BIO, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (12) to this Form 4. This Form 4 is the first of two Forms 4 filed relating to the same event. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting person. The second Form 4 will be filed by Aaron G.L. Fletcher as the designated filer. /s/ Aaron G.L. Fletcher 2022-08-30 Bios Equity Partners III, LP By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager 2022-08-30 Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr, Manager 2022-08-30 Bios Capital Management, LP By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager 2022-08-30 Bios Advisors GP, LLC By: /s/ Aaron Glenn Louis Fletcher, Manager 2022-08-30