0000078003-21-000030.txt : 20210216 0000078003-21-000030.hdr.sgml : 20210216 20210212180020 ACCESSION NUMBER: 0000078003-21-000030 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210212 GROUP MEMBERS: PFIZER VENTURES (US) LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BioAtla, Inc. CENTRAL INDEX KEY: 0001826892 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 851922320 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-91930 FILM NUMBER: 21630453 BUSINESS ADDRESS: STREET 1: 11085 TORREYANA ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-558-0708 MAIL ADDRESS: STREET 1: 11085 TORREYANA ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PFIZER INC CENTRAL INDEX KEY: 0000078003 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 135315170 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125732323 MAIL ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: PFIZER CHARLES & CO INC DATE OF NAME CHANGE: 19710908 SC 13G 1 bioatla_13gx2x21.htm BIOATLA SC 13G Document

CUSIP No. 09077B104

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. ) *
BioAtla, Inc.
(Name of Issuer)
Common Stock, $0.0001 par value
(Title of Class of Securities)
09077B104
(CUSIP Number)
December 31, 2020
(Date of Event Which Requires Filing of this Statement)



Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

[ ] Rule 13d-1(b)

[ ] Rule 13d-1(c)

[X] Rule 13d-1(d)    

__________
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

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CUSIP No. 09077B104

1.
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY)

Pfizer Inc.

2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
3.
SEC USE ONLY

4.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5.
SOLE VOTING POWER -0-

6.
SHARED VOTING POWER 2,238,090 shares of Common Stock, $0.0001 par value per share ("Common Stock" held by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.
7.
SOLE DISPOSITIVE POWER -0-
8.
SHARED DISPOSITIVE POWER 2,238,090 shares of Common Stock held directly by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON 2,238,090*
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
[ ]
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0%**
12.
TYPE OF REPORTING PERSON CO

* Represents 2,238,090 shares held directly by Pfizer Ventures (US) LLC. Pfizer Inc. may be deemed to have beneficial ownership over such shares since Pfizer Ventures (US) LLC is a wholly-owned subsidiary of Pfizer Inc.
** Based upon 32,171,560 shares of Common Stock outstanding as of December 18, 2020 immediately following the completion of the IPO, including the exercise in full by the underwriters of their option to purchase additional shares of Common Stock, as reported in the Issuer’s final prospectus filed with the Securities and Exchange Commission pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended, on December 17, 2020.
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CUSIP No. 09077B104
1.
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY)

Pfizer Ventures (US) LLC

2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
3.
SEC USE ONLY

4.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5.
SOLE VOTING POWER -0-
6.
SHARED VOTING POWER 2,238,090 shares of Common Stock
7.
SOLE DISPOSITIVE POWER -0-
8.
SHARED DISPOSITIVE POWER 2,238,090 Shares of Common Stock
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON 2,238,090 shares of Common Stock held directly by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
[ ]
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0%**
12.
TYPE OF REPORTING PERSON OO


**Based upon 32,171,560 shares of Common Stock outstanding as of December 18, 2020 immediately following the completion of the IPO, including the exercise in full by the underwriters of their option to purchase additional shares of Common Stock, as reported in the Issuer’s final prospectus filed with the Securities and Exchange Commission pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended, on December 17, 2020.
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CUSIP No. 09077B104
SCHEDULE 13G


ITEM 1(a)NAME OF ISSUER: BioAtla, Inc. (the “Issuer”).
ITEM 1(b)ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:
11085 Torreyana Road, San Diego, CA 92121
ITEM 2(a)NAME OF PERSON FILING:
Pfizer Inc. (“Pfizer”)
Pfizer Ventures (US) LLC (“PVUS”)

PVUS is a wholly-owned subsidiary of Pfizer. The Joint Filing Agreement between Pfizer and PVUS is filed herewith as Exhibit 99.1.
ITEM 2(b)ADDRESS OF PRINCIPAL BUSINESS OFFICE:
Pfizer and PVUS: 235 East 42nd Street, New York, NY 10017
ITEM 2(c)CITIZENSHIP:
Pfizer and PVUS: Delaware
ITEM 2(d)TITLE OF CLASS OF SECURITIES:
Common Stock, $0.0001 par value
ITEM 2(e)CUSIP NUMBER: 09077B104
ITEM 3STATEMENTS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B) OR (C):
Not applicable.

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CUSIP No. 09077B104

ITEM 4OWNERSHIP:
The information requested in this item is incorporated herein by reference to rows 5 through 11 of the respective cover pages of Pfizer and PVUS to this Schedule 13G.
ITEM 5OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
Not applicable.
ITEM 6OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
Not applicable.
ITEM 7IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT COMPANY:
Not applicable.

ITEM 8IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Not applicable.
ITEM 9NOTICE OF DISSOLUTION OF GROUP:
Not applicable.
ITEM 10CERTIFICATION:
Not applicable.

5


CUSIP No. 09077B104

EXHIBIT INDEX
Exhibit Description
99.1
Joint Filing Agreement, dated as of February 12, 2021, by and between Pfizer and PVUS.


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CUSIP No. 09077B104

SIGNATURE

After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Dated: February 12, 2021

PFIZER INC.
By:/s/ Susan Grant
Name:Susan Grant
Title:Assistant Secretary
PFIZER VENTURES (US) LLC
By:/s/ Susan Grant
Name:Susan Grant
Title:Secretary

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EX-99.1 2 bioatla_sc13gaxexx99x1.htm EX-99.1 Document

CUSIP No. 09077B104
EXHIBIT 99.1
                                


JOINT FILING AGREEMENT

The undersigned hereby agree that the statement on Schedule 13G to which this Agreement is annexed as Exhibit 99.1, and any amendments thereto, is and will be filed on behalf of each of them in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended.

Dated: February 12, 2021

PFIZER INC.
By:/s/ Susan Grant
Name:Susan Grant
Title:Assistant Secretary
PFIZER VENTURES (US) LLC
By:/s/ Susan Grant
Name:Susan Grant
Title:Secretary


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