Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 21, 2022 Filed Oct 25, 2022 20:33 UTC |
Ho William Tai-WeiDirector · President, CEO and CFO
|
GrantEmployee Stock Option (right to buy) · Derivative | 83,265 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001209191-22-054507 · doc4.xml · derivative · entry 1 Ho William Tai-Wei · CIK 0001830914 · Director · President, CEO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,265 Underlying: Common Stock · 83,265 shares Expires 2032-10-21 F1 · derivative.exercise_date: The option will vest in three equal annual installments commencing on October 21, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 06:14 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 2,913 | $2.02 | $5,888.34 |
DisclosureSEC source: 0001104659-22-103860 · tm2226891-1_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 561,989 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.73 to $2.15, 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. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 06:14 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 19,017 | $2.02 | $38,440.96 |
DisclosureSEC source: 0001104659-22-103860 · tm2226891-1_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,670,545 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.73 to $2.15, 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. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 06:14 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 3,070 | $2.02 | $6,205.70 |
DisclosureSEC source: 0001104659-22-103860 · tm2226891-1_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 592,766 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.73 to $2.15, 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. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 06:08 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 2,913 | $2.02 | $5,888.34 |
DisclosureSEC source: 0001104659-22-103846 · tm2226891-2_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 561,989 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 1.73 to $2.15, 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. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 06:08 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 19,017 | $2.02 | $38,440.96 |
DisclosureSEC source: 0001104659-22-103846 · tm2226891-2_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,670,545 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 1.73 to $2.15, 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. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 06:08 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 3,070 | $2.02 | $6,205.70 |
DisclosureSEC source: 0001104659-22-103846 · tm2226891-2_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 592,766 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 1.73 to $2.15, 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. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 29, 2022 Filed Aug 30, 2022 13:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 4,660 | $2.02 | $9,413.20 |
DisclosureSEC source: 0001104659-22-095951 · tm2224783-2_4seq1.xml · nonDerivative · entry 6 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 559,076 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 29, 2022 Filed Aug 30, 2022 13:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 30,428 | $2.02 | $61,464.56 |
DisclosureSEC source: 0001104659-22-095951 · tm2224783-2_4seq1.xml · nonDerivative · entry 4 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,651,528 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 29, 2022 Filed Aug 30, 2022 13:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 4,912 | $2.02 | $9,922.24 |
DisclosureSEC source: 0001104659-22-095951 · tm2224783-2_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 589,696 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 29, 2022 Filed Aug 30, 2022 08:10 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 4,660 | $2.02 | $9,413.20 |
DisclosureSEC source: 0001104659-22-095839 · tm2224783-1_4seq1.xml · nonDerivative · entry 6 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 559,076 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 29, 2022 Filed Aug 30, 2022 08:10 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 30,428 | $2.02 | $61,464.56 |
DisclosureSEC source: 0001104659-22-095839 · tm2224783-1_4seq1.xml · nonDerivative · entry 4 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,651,528 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 29, 2022 Filed Aug 30, 2022 08:10 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 4,912 | $2.02 | $9,922.24 |
DisclosureSEC source: 0001104659-22-095839 · tm2224783-1_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 589,696 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 13:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 1,306 | $2.01 | $2,625.06 |
DisclosureSEC source: 0001104659-22-095951 · tm2224783-2_4seq1.xml · nonDerivative · entry 5 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 554,416 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 13:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 8,531 | $2.01 | $17,147.31 |
DisclosureSEC source: 0001104659-22-095951 · tm2224783-2_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,621,100 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 13:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 1,377 | $2.01 | $2,767.77 |
DisclosureSEC source: 0001104659-22-095951 · tm2224783-2_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 584,784 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 08:10 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 1,306 | $2.01 | $2,625.06 |
DisclosureSEC source: 0001104659-22-095839 · tm2224783-1_4seq1.xml · nonDerivative · entry 5 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 554,416 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 08:10 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 8,531 | $2.01 | $17,147.31 |
DisclosureSEC source: 0001104659-22-095839 · tm2224783-1_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,621,100 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 08:10 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 1,377 | $2.01 | $2,767.77 |
DisclosureSEC source: 0001104659-22-095839 · tm2224783-1_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 584,784 F12 · price: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 23:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 5,823 | $1.93 | $11,238.39 |
DisclosureSEC source: 0001104659-22-092665 · tm2223668-4_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 553,110 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.84 to $2.23, 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 23:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 38,035 | $1.93 | $73,407.55 |
DisclosureSEC source: 0001104659-22-092665 · tm2223668-4_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,612,569 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.84 to $2.23, 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 23:16 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 6,142 | $1.93 | $11,854.06 |
DisclosureSEC source: 0001104659-22-092665 · tm2223668-4_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 583,407 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.84 to $2.23, 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 20:00 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 5,823 | $1.93 | $11,238.39 |
DisclosureSEC source: 0001104659-22-092685 · tm2223668-3_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 553,110 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.84 to $2.23, 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 20:00 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 38,035 | $1.93 | $73,407.55 |
DisclosureSEC source: 0001104659-22-092685 · tm2223668-3_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,612,569 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.84 to $2.23, 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 20:00 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 6,142 | $1.93 | $11,854.06 |
DisclosureSEC source: 0001104659-22-092685 · tm2223668-3_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 583,407 F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.84 to $2.23, 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 10:27 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 206,575 | $1.90 | $392,492.50 |
DisclosureSEC source: 0001104659-22-092057 · tm2223668-2_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 540,287 F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 10:27 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 1,349,218 | $1.90 | $2,563,514.20 |
DisclosureSEC source: 0001104659-22-092057 · tm2223668-2_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,574,534 F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 10:27 UTC |
Kreis Leslie W.Director · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 217,891 | $1.90 | $413,992.90 |
DisclosureSEC source: 0001104659-22-092057 · tm2223668-2_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 217,891 F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 14:25 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 206,575 | $1.90 | $392,492.50 |
DisclosureSEC source: 0001104659-22-092056 · tm2223668-1_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 540,287 F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 14:25 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 1,349,218 | $1.90 | $2,563,514.20 |
DisclosureSEC source: 0001104659-22-092056 · tm2223668-1_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,574,534 F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 14:25 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 217,891 | $1.90 | $413,992.90 |
DisclosureSEC source: 0001104659-22-092056 · tm2223668-1_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 217,891 F1 · ownership.nature: 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. F2 · ownership.nature: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:13 UTC |
McCall PatrickChief Financial Officer
|
PurchaseCommon Stock | 5,263 | $1.90 | $9,999.70 |
DisclosureSEC source: 0001209191-22-046609 · doc4.xml · nonDerivative · entry 1 McCall Patrick · CIK 0001874384 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,263 Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:14 UTC |
Rochlin KateChief Operating Officer
|
PurchaseCommon Stock | 5,263 | $1.90 | $9,999.70 |
DisclosureSEC source: 0001209191-22-046613 · doc4.xml · nonDerivative · entry 1 Rochlin Kate · CIK 0001898521 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,263 Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 16:11 UTC |
Goswami TrishnaChief Medical Officer
|
PurchaseCommon Stock | 2,631 | $1.90 | $4,998.90 |
DisclosureSEC source: 0001209191-22-046605 · doc4.xml · nonDerivative · entry 1 Goswami Trishna · CIK 0001894243 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,631 Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:09 UTC |
Greenwood LubaDirector
|
PurchaseCommon Stock | 526 | $1.90 | $999.40 |
DisclosureSEC source: 0001209191-22-046601 · doc4.xml · nonDerivative · entry 1 Greenwood Luba · CIK 0001853815 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,826 Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 16:08 UTC |
Roemer Alan S.Director
|
PurchaseCommon Stock | 26,315 | $1.90 | $49,998.50 |
DisclosureSEC source: 0001209191-22-046600 · doc4.xml · nonDerivative · entry 1 Roemer Alan S. · CIK 0001643070 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,989 Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:07 UTC |
Brandt Peter C.Director
|
PurchaseCommon Stock | 105,263 | $1.90 | $199,999.70 |
DisclosureSEC source: 0001209191-22-046598 · doc4.xml · nonDerivative · entry 1 Brandt Peter C. · CIK 0001434099 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,473 F1 · balance_after: Includes 77,210 shares received as an annual annuity payment from the Reporting Person's GRAT. This transfer constitutes a mere change in the form of ownership and is exempt from reporting pursuant to Rule 16a-13. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:15 UTC |
Ho William Tai-WeiDirector · President, CEO and CFO
|
PurchaseCommon Stock | 26,315 | $1.90 | $49,998.50 |
DisclosureSEC source: 0001209191-22-046615 · doc4.xml · nonDerivative · entry 1 Ho William Tai-Wei · CIK 0001830914 · Director · President, CEO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,315,745 Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:17 UTC |
FAIRBAIRN EMILYDirector · 10% owner
|
PurchaseCommon Stock | 789,473 | $1.90 | $1,499,998.70 |
DisclosureSEC source: 0001209191-22-046616 · doc4.xml · nonDerivative · entry 1 FAIRBAIRN EMILY · CIK 0001682638 · Director · 10% owner Transcend Partners Opportunity Fund LLC · CIK 0001832019 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,111,958 F1 · ownership.nature: The securities are held by Transcend Partners Opportunity Fund LLC ("Transcend"). Emily Fairbairn is the sole managing member of Transcend and has voting and investment power over the shares held by Transcend. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:10 UTC |
Lamb LawrenceEVP and CSO
|
PurchaseCommon Stock | 526 | $1.90 | $999.40 |
DisclosureSEC source: 0001209191-22-046603 · doc4.xml · nonDerivative · entry 1 Lamb Lawrence · CIK 0001830059 · EVP and CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,730 Read SEC document |
| June 01, 2022 Filed Jun 14, 2022 23:03 UTC |
Greenwood LubaDirector
|
GrantStock Option (right to buy) · Derivative | 10,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-036803 · doc4.xml · derivative · entry 1 Greenwood Luba · CIK 0001853815 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common Stock · 10,500 shares Expires 2032-06-01 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 01, 2022 Filed Jun 14, 2022 19:02 UTC |
Roemer Alan S.Director
|
GrantStock Option (right to buy) · Derivative | 10,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-036802 · doc4.xml · derivative · entry 1 Roemer Alan S. · CIK 0001643070 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common Stock · 10,500 shares Expires 2032-06-01 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 01, 2022 Filed Jun 14, 2022 23:07 UTC |
Brandt Peter C.Director
|
GrantStock Option (right to buy) · Derivative | 10,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-036807 · doc4.xml · derivative · entry 1 Brandt Peter C. · CIK 0001434099 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common Stock · 10,500 shares Expires 2032-06-01 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 01, 2022 Filed Jun 14, 2022 23:05 UTC |
FAIRBAIRN EMILYDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 10,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-036804 · doc4.xml · derivative · entry 1 FAIRBAIRN EMILY · CIK 0001682638 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common Stock · 10,500 shares Expires 2032-06-01 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 01, 2022 Filed Jun 14, 2022 23:00 UTC |
Whitfill TravisDirector
|
GrantStock Option (right to buy) · Derivative | 10,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-036801 · doc4.xml · derivative · entry 1 Whitfill Travis · CIK 0001830178 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common Stock · 10,500 shares Expires 2032-06-01 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 01, 2022 Filed Sep 23, 2022 21:07 UTC Amendment |
Greenwood LubaDirector
|
GrantStock Option (right to buy) · Derivative | 13,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-051161 · doc4a.xml · derivative · entry 1 Greenwood Luba · CIK 0001853815 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2032-06-01 F1 · shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F2 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. F1 · derivative.underlying_shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F1 · balance_after: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. Read SEC document |
| June 01, 2022 Filed Sep 23, 2022 17:08 UTC Amendment |
Roemer Alan S.Director
|
GrantStock Option (right to buy) · Derivative | 13,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-051163 · doc4a.xml · derivative · entry 1 Roemer Alan S. · CIK 0001643070 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2032-06-01 F1 · shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F2 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. F1 · derivative.underlying_shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F1 · balance_after: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. Read SEC document |
| June 01, 2022 Filed Sep 23, 2022 21:05 UTC Amendment |
Brandt Peter C.Director
|
GrantStock Option (right to buy) · Derivative | 13,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-051159 · doc4a.xml · derivative · entry 1 Brandt Peter C. · CIK 0001434099 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2032-06-01 F1 · shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F2 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. F1 · derivative.underlying_shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F1 · balance_after: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. Read SEC document |
| June 01, 2022 Filed Sep 23, 2022 21:06 UTC Amendment |
FAIRBAIRN EMILYDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 13,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-051160 · doc4a.xml · derivative · entry 1 FAIRBAIRN EMILY · CIK 0001682638 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2032-06-01 F1 · shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F2 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. F1 · derivative.underlying_shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F1 · balance_after: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. Read SEC document |
| June 01, 2022 Filed Sep 23, 2022 21:09 UTC Amendment |
Whitfill TravisDirector
|
GrantStock Option (right to buy) · Derivative | 13,500 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-22-051164 · doc4a.xml · derivative · entry 1 Whitfill Travis · CIK 0001830178 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2032-06-01 F1 · shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F2 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. F1 · derivative.underlying_shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. F1 · balance_after: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.