Statement of Changes in Beneficial Ownership (4)
19 November 2020 - 9:16AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Topper James N |
2. Issuer Name and Ticker or Trading Symbol
ANAPTYSBIO, INC
[
ANAB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O FRAZIER HEALTHCARE PARTNERS, 601 UNION STREET, SUITE 3200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/16/2020 |
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(Street)
SEATTLE, WA 98101
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 11/16/2020 | | J(1) | | 973612 | D | $0.00 | 0 | I | By: Frazier Healthcare V, L.P. (2) |
| Common Stock | 11/16/2020 | | J(3) | | 344860 | D | $0.00 | 700171 | I | By: Frazier Healthcare VII, L.P. (4) |
| Common Stock | 11/16/2020 | | J(5) | | 98275 | D | $0.00 | 199529 | I | By: Frazier Healthcare VII-A, L.P. (6) |
| Common Stock | 11/16/2020 | | J(7) | | 22604 | A | $0.00 | 54458 | D | |
| Common Stock | 11/16/2020 | | J(8) | | 26354 | A | $0.00 | 80812 (9) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | Represents a pro rata distribution in-kind by Frazier Healthcare V, L.P. to its limited partners for no consideration. |
| (2) | The reportable securities were held directly by Frazier Healthcare V, L.P. FHM V, L.P. is the general partner of Frazier Healthcare V, L.P. FHM V, L.L.C. is the general partner of FHM V, L.P. James Topper is one of five managing members of FHM V, L.L.C. Dr. Topper disclaims beneficial ownership of the securities held by Frazier Healthcare V, L.P., except to the extent of his pecuniary interest therein, if any. |
| (3) | Represents a pro rata distribution in-kind by Frazier Healthcare VII, L.P. to its limited partners for no consideration. |
| (4) | The reportable securities are held directly by Frazier Healthcare VII, L.P. FHM VII, L.P. is the general partner of Frazier Healthcare VII, L.P. FHM VII, L.L.C. is the general partner of FHM VII, L.P. James Topper is one of six managing members of FHM VII, L.L.C. Dr. Topper disclaims beneficial ownership of the securities held by Frazier Healthcare VII, L.P., except to the extent of his pecuniary interest therein, if any. |
| (5) | Represents a pro rata distribution in-kind by Frazier Healthcare VII-A, L.P. to its limited partners for no consideration. |
| (6) | The reportable securities are held directly by Frazier Healthcare VII-A, L.P. FHM VII, L.P. is the general partner of Frazier Healthcare VII-A, L.P. FHM VII, L.L.C. is the general partner of FHM VII, L.P. James Topper is one of six managing members of FHM VII, L.L.C. Dr. Topper disclaims beneficial ownership of the securities held by Frazier Healthcare VII-A, L.P., except to the extent of his pecuniary interest therein, if any. |
| (7) | Shares acquired by Dr. Topper through a distribution in-kind from Frazier Healthcare V, L.P. |
| (8) | Shares acquired by Dr. Topper through a distribution in-kind from Frazier Healthcare VII, L.P. |
| (9) | Dr. Topper also holds stock options to purchase up to an aggregate of 38,000 shares of the Issuer's Common Stock, which stock options vest according to their terms, in addition to the 80,812 shares of Common Stock that are held directly by Dr. Topper. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Topper James N
C/O FRAZIER HEALTHCARE PARTNERS
601 UNION STREET, SUITE 3200
SEATTLE, WA 98101 | X |
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Signatures
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| /s/ Steve R. Bailey, Attorney-In-Fact for James N. Topper | | 11/18/2020 |
| **Signature of Reporting Person | Date |
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