Biora Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows, 19 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-01-03: Reporting owner Athyrium Opportunities III Co-Invest 1 LP | Athyrium Opportunities III Acquisition LP | Athyrium Opportunities III Acquisition 2 LP | Athyrium Opportunities 2020 LP | Athyrium Opportunities Associates III GP LLC | Athyrium Funds GP Holdings LLC | Ferrell Jeffrey | Athyrium Opportunities Associates III LP | Athyrium Opportunities Associates Co-Invest LLC; Form 4; Security Series X Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-01-03: Reporting owner Kotzin Brian L.; Form 4; Security Series X Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-01-03: Reporting owner MOHANTY ADITYA P.; Form 4; Security Series X Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-01-03: Reporting owner NEUMANN CLARKE; Form 4; Security Series X Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-01-03 | Athyrium Opportunities III Co-Invest 1 LP | Athyrium Opportunities III Acquisition LP | Athyrium Opportunities III Acquisition 2 LP | Athyrium Opportunities 2020 LP | Athyrium Opportunities Associates III GP LLC | Athyrium Funds GP Holdings LLC | Ferrell Jeffrey | Athyrium Opportunities Associates III LP | Athyrium Opportunities Associates Co-Invest LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Series X Preferred Stock Non-derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −42,362 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | Kotzin Brian L. Director | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −44 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | MOHANTY ADITYA P. Director, Officer (Chief Executive Officer) | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −178 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | NEUMANN CLARKE Officer (See Remarks) | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −44 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | Powell Lynne Director | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −45 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | Alter Jeffrey D. Director | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −65 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | Sarna Surbhi Director | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | dEsparbes Eric Officer (Chief Financial Officer) | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −95 0 owned after | no price filed | 2023-01-05 | |
| 2023-01-03 | Howe Jill Ann Director | 4 | Series X Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −19 0 owned after | no price filed | 2023-01-05 | |
| 2020-06-23 | NB Alternatives Holdings LLC | Athyrium Capital Holdings, LLC | Athyrium Funds GP Holdings LLC | NB Alternatives GP Holdings LLC | NB Alternatives Advisers LLC | Athyrium Capital Management, LP | Athyrium Opportunities Advisers LLC | Ferrell Jeffrey 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | no price filed | 2020-06-25 | ||
| 2020-06-23 | Athyrium Opportunities Fund (B) LP | Athyrium Opportunities Associates GP LLC | Athyrium Opportunities Associates LP | Athyrium Opportunities Associates Co-Invest LLC | Athyrium Opportunities Fund (A) LP | Athyrium Opportunities 2020 LP | Athyrium Opportunities Associates III LP | Athyrium Opportunities III Co-Invest 1 LP | Athyrium Opportunities Associates III GP LLC | Athyrium Opportunities III Acquisition 2 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | no price filed | 2020-06-25 | ||
| 2020-06-23 | Stylli Harry Director, Officer (Chairman & CEO), 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,120,000 0 owned after | $0.00 | 2020-06-23 | |
| 2020-06-23 | Stylli Harry Director, Officer (Chairman & CEO), 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,122,222 0 owned after | $0.00 | 2020-06-23 | |
| 2020-06-18 holding as of filing | Athyrium Capital Management, LP | Ferrell Jeffrey | Athyrium Opportunities Advisers LLC | NB Alternatives GP Holdings LLC | NB Alternatives Advisers LLC | Athyrium Capital Holdings, LLC | NB Alternatives Holdings LLC | Athyrium Funds GP Holdings LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-18 | ||
| 2020-06-18 holding as of filing | Athyrium Capital Management, LP | Ferrell Jeffrey | Athyrium Opportunities Advisers LLC | NB Alternatives GP Holdings LLC | NB Alternatives Advisers LLC | Athyrium Capital Holdings, LLC | NB Alternatives Holdings LLC | Athyrium Funds GP Holdings LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Purchase Warrant Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-18 | ||
| 2020-06-18 holding as of filing | Athyrium Opportunities Associates LP | Athyrium Opportunities Associates GP LLC | Athyrium Opportunities Fund (B) LP | Athyrium Opportunities III Co-Invest 1 LP | Athyrium Opportunities Associates III LP | Athyrium Opportunities III Acquisition 2 LP | Athyrium Opportunities Associates III GP LLC | Athyrium Opportunities 2020 LP | Athyrium Opportunities Associates Co-Invest LLC | Athyrium Opportunities Fund (A) LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-18 | ||
| 2020-06-18 holding as of filing | Athyrium Opportunities Associates LP | Athyrium Opportunities Associates GP LLC | Athyrium Opportunities Fund (B) LP | Athyrium Opportunities III Co-Invest 1 LP | Athyrium Opportunities Associates III LP | Athyrium Opportunities III Acquisition 2 LP | Athyrium Opportunities Associates III GP LLC | Athyrium Opportunities 2020 LP | Athyrium Opportunities Associates Co-Invest LLC | Athyrium Opportunities Fund (A) LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Purchase Warrant Derivative · Indirect · See footnotes | Holding | no price filed | 2020-06-18 | ||
| 2020-06-18 holding as of filing | Stylli Harry Director, Officer (Chairman & CEO) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2020-06-18 | ||
| 2020-06-18 holding as of filing | Stylli Harry Director, Officer (Chairman & CEO) | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2020-06-18 |