4//SEC Filing
Graf James A 4
Accession 0001104659-23-106578
CIK 0001845459other
Filed
Oct 3, 8:00 PM ET
Accepted
Oct 4, 6:10 AM ET
Size
12.2 KB
Accession
0001104659-23-106578
Insider Transaction Report
Form 4
Graf Acquisition Partners IV LLC
Chief Executive Officer10% Owner
Transactions
- Other
Common Stock
2023-09-29−1,773,631→ 2,436,744 total - Award
Private Placement Warrants
2023-09-29$1.50/sh+4,721,533$7,082,300→ 4,721,533 totalExercise: $11.50From: 2023-10-29Exp: 2028-09-29→ Common Stock (4,721,533 underlying) - Award
Working Capital Warrants
2023-09-29$1.50/sh+523,140$784,710→ 5,244,673 totalExercise: $11.50From: 2023-10-29Exp: 2028-09-29→ Common Stock (523,140 underlying)
Graf James A
Chief Executive Officer10% Owner
Transactions
- Other
Common Stock
2023-09-29−1,773,631→ 2,436,744 total - Award
Private Placement Warrants
2023-09-29$1.50/sh+4,721,533$7,082,300→ 4,721,533 totalExercise: $11.50From: 2023-10-29Exp: 2028-09-29→ Common Stock (4,721,533 underlying) - Award
Working Capital Warrants
2023-09-29$1.50/sh+523,140$784,710→ 5,244,673 totalExercise: $11.50From: 2023-10-29Exp: 2028-09-29→ Common Stock (523,140 underlying)
Footnotes (4)
- [F1]On September 29, 2023, Graf Acquisition Partners IV LLC (the "Sponsor") forfeited 1,773,631 shares of common stock of the NKGen Biotech, Inc. (f/k/a Graf Acquisition Corp. IV, the "Issuer") held by it back to the Issuer for no consideration in connection with the closing of the Issuer's business combination transaction (the "Closing").
- [F2]The Sponsor is the record holder of the securities reported herein. James A. Graf is the managing member of the Sponsor. Mr. Graf has voting and investment discretion with respect to the securities held of record by the Sponsor.
- [F3]The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), concurrent with the Closing, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. The Private Placement Warrants were initially acquired in a private placement from the Issuer concurrent with Issuer's initial public offering.
- [F4]The Working Capital Warrants were issued to the Sponsor concurrently with the Closing pursuant to a working capital note between the Sponsor and the Issuer.
Documents
Issuer
NKGen Biotech, Inc.
CIK 0001845459
Entity typeother
Related Parties
1- filerCIK 0001519672
Filing Metadata
- Form type
- 4
- Filed
- Oct 3, 8:00 PM ET
- Accepted
- Oct 4, 6:10 AM ET
- Size
- 12.2 KB