PARK SANGWOO enters NKGEN BIOTECH, INC. with 13.02M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Indirect Derivatives
Filed: 10/10/2023ACC: 0001209191-23-052508
Director10% OwnerOther
Since Sep 2023
13.02M
Baseline shares
3% direct
397.38K
Direct ownership
1 position
2.74M
Derivative underlying
3 instruments
2
Security positions
12.62M indirect
Non-Derivative Holdings2
Common Stock
IndirectShares owned12.62M
Common Stock
DirectShares owned397.38K
Total
397.38K direct·12.62M indirect13.02M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 12.62M | Indirect |
| Common Stock | 397.38K | Direct |
| Total | 13.02M | 397.38K direct·12.62M indirect |
Derivative Holdings3
Stock Option (right to buy)
IndirectUnderlying security
Common Stock
Underlying shares
735.47K
Shares owned
N/A
Exercise price
6.67
Expiration
—
Exercise window
—
5.0/8.0% Convertible Senior Notes due 2027 (right to buy)
IndirectUnderlying security
Common Stock
Underlying shares
1M
Shares owned
N/A
Exercise price
10.00
Expiration
—
Exercise window
—
Warrant (right to buy)
IndirectUnderlying security
Common Stock
Underlying shares
1M
Shares owned
N/A
Exercise price
11.50
Expiration
—
Exercise window
—
Total
Underlying
2.74M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Stock Option (right to buy) Indirect | Common Stock | 6.67 | — | — | 735.47K | N/A |
| 5.0/8.0% Convertible Senior Notes due 2027 (right to buy) Indirect | Common Stock | 10.00 | — | — | 1M | N/A |
| Warrant (right to buy) Indirect | Common Stock | 11.50 | — | — | 1M | N/A |
| Total | 2.74M | 0.00 | ||||