Amended Statement of Beneficial Ownership (3/a)
24 November 2022 - 01:02AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BARCLAYS PLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/4/2022
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3. Issuer Name and Ticker or Trading Symbol
OmniAb, Inc. [OABI]
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(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
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Table I - Non-Derivative Securities Beneficially Owned
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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)
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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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BARCLAYS PLC 1 CHURCHILL PLACE CANARY WHARF LONDON, X0 E14 5HP |
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| Not a 10% owner |
Signatures
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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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