Amended Statement of Beneficial Ownership (3/a)
24 November 2022 - 01:02AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * BARCLAYS
PLC |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
11/4/2022
|
3. Issuer Name and Ticker or Trading
Symbol OmniAb, Inc. [OABI] |
(Last)
(First)
(Middle)
1 CHURCHILL PLACE, CANARY WHARF |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
_____ Officer (give title
below) ___X___
Other (specify below)
/ Not a 10% owner |
(Street)
LONDON, X0 E14
5HP
(City)
(State)
(Zip)
|
5. If Amendment, Date Original
Filed(MM/DD/YYYY)
11/10/2022
|
6. Individual or Joint/Group
Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially
Owned
|
1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying
Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative
Security |
5. Ownership Form of Derivative Security: Direct (D)
or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
Remarks:
An initial Form 3 was filed based on the firm holding 1,109,379
warrants, which constituted a 14% ownership of the outstanding
warrants. At the time, the warrants had become exercisable within
60 days and on an as converted basis, when added to the Firm's
existing holdings in the common stock, the Firm had beneficial
ownership of less than 1% of the outstanding common stock of the
issuer. As the warrants themselves were non-voting and constituted
derivative instruments, in line with the guidance in the adopting
release for the 1991 Section 16 amendments the treatment of the
warrants as their own class of equity securities for purposes of
16(a) was made in error. Therefore, the firm's Form 3 was filed in
error. |
No securities are beneficially
owned. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
BARCLAYS PLC
1 CHURCHILL PLACE
CANARY WHARF
LONDON, X0 E14 5HP |
|
|
|
Not a 10% owner |
Signatures
|
Suejean Mott |
|
11/23/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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