CFIC-2015 NV FAMILY INVESTMENTS, LLC enters NKGEN BIOTECH, INC. with 2.08M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Indirect Derivatives
Filed: 8/27/2024ACC: 0001104659-24-093521
10% Owner
Since Aug 2024
2.08M
Baseline shares
0.00
Direct ownership
0 positions
6.21M
Derivative underlying
3 instruments
1
Security positions
2.08M indirect
Non-Derivative Holdings1
Common Stock
IndirectShares owned2.08M
Total
2.08M indirect2.08M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 2.08M | Indirect |
| Total | 2.08M | 2.08M indirect |
Derivative Holdings3
Option to buy
IndirectUnderlying security
Common Stock
Underlying shares
2.08M
Shares owned
N/A
Exercise price
Expiration
—
Exercise window
—
Warrant
IndirectUnderlying security
Common Stock
Underlying shares
2.75M
Shares owned
N/A
Exercise price
2.00
Expiration
—
Exercise window
—
Convertible promissory note
IndirectUnderlying security
Common Stock
Underlying shares
1.38M
Shares owned
N/A
Exercise price
2.00
Expiration
—
Exercise window
—
Total
Underlying
6.21M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Option to buy Indirect | Common Stock | — | — | 2.08M | N/A | |
| Warrant Indirect | Common Stock | 2.00 | — | — | 2.75M | N/A |
| Convertible promissory note Indirect | Common Stock | 2.00 | — | — | 1.38M | N/A |
| Total | 6.21M | 0.00 | ||||