Form Type: 4

SEC EDGAR Link
Accession Number:0001638599-20-000323
Date:2020-03-16
Issuer: KODIAK SCIENCES INC. (KOD)
Original Submission Date:

Reporting Person:

BAKER BROS. ADVISORS LP
860 WASHINGTON STREET
3RD FLOOR NEW YORK, NY 10014

Reporting Person:

667, L.P.
860 WASHINGTON STREET, 3RD FLOOR
NEW YORK, NY 10014

Reporting Person:

BAKER BROS. ADVISORS (GP) LLC
860 WASHINGTON STREET
3RD FLOOR NEW YORK, NY 10014

Reporting Person:

BAKER BROTHERS LIFE SCIENCES LP
860 WASHINGTON STREET
3RD FLOOR NEW YORK, NY 10014

Reporting Person:

BAKER FELIX
860 WASHINGTON STREET
3RD FLOOR NEW YORK, NY 10014

Reporting Person:

BAKER JULIAN
860 WASHINGTON STREET, 3RD FLOOR
NEW YORK, NY 10014

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-03-16 P 8,666 a $39.97 968,227 indirect f2,f4,f5
COMMON STOCK 2020-03-16 P 95,934 a $39.97 10,560,911 indirect f3,f4,f5
COMMON STOCK 2020-03-17 P 828 a $38.99 969,055 indirect f2,f4,f5
COMMON STOCK 2020-03-17 P 9,172 a $38.99 10,570,083 indirect f3,f4,f5
COMMON STOCK 2020-03-18 P 1,542 a $36.69 970,597 indirect f2,f4,f5
COMMON STOCK 2020-03-18 P 17,058 a $36.69 10,587,141 indirect f3,f4,f5
COMMON STOCK 2020-03-18 P 563 a $37.75 971,160 indirect f2,f4,f5
COMMON STOCK 2020-03-18 P 6,237 a $37.75 10,593,378 indirect f3,f4,f5
COMMON STOCK 2020-03-18 P 828 a $38.38 971,988 indirect f2,f4,f5
COMMON STOCK 2020-03-18 P 9,172 a $38.38 10,602,550 indirect f3,f4,f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted average price. these shares were traded by 667, l.p. ("667") and baker brothers life sciences, l.p. ("life sciences", and together with 667, the "funds") in multiple transactions at prices ranging from $39.64 to $40.62, inclusive. the reporting persons undertake to provide to kodiak sciences inc (the "issuer"), any security holder of the issuer, or the staff of the securities and exchange commission (the "staff"), upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
f2 after giving effect to the transaction and as a result of their ownership interest in (i) baker biotech capital, l.p. and (ii) 667, julian c. baker and felix j. baker each may be deemed to have an indirect pecuniary interest in common stock of the issuer ("common stock") reported in column 5 of table i directly held by 667, a limited partnership of which the sole general partner is baker biotech capital, l.p., a limited partnership of which the sole general partner is baker biotech capital (gp), llc, due to their interest in 667 and baker biotech capital, l.p.'s right to receive an allocation of a portion of the profits from 667.
f3 after giving effect to the transaction reported herein and as a result of their ownership interest in (i) baker brothers life sciences capital l.p. and (ii) life sciences, felix j. baker and julian c. baker may be deemed to have an indirect pecuniary interest in common stock reported in column 5 of table i beneficially owned by life sciences, a limited partnership of which the sole general partner is baker brothers life sciences capital, l.p., a limited partnership of which the sole general partner is baker brothers life sciences capital (gp), llc, due to their interest in life sciences and baker brothers life sciences capital, l.p.'s right to receive an allocation of a portion of the profits from life sciences.
f4 baker bros. advisors lp (the "adviser") serves as the investment adviser to the funds. in connection with the services provided by the adviser, the adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the funds. baker bros. advisors (gp) llc (the "adviser gp") is the adviser's sole general partner. julian c. baker and felix j. baker are managing members of the adviser gp. the adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the funds. the general partners of the funds relinquished to the adviser all discretion and authority with respect to the investment and voting power of the securities held by the funds.
f5 julian c. baker, felix j. baker, the adviser gp and the adviser disclaim beneficial ownership of the securities held directly by the funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of julian c. baker, felix j. baker, the adviser gp or the adviser is a beneficial owner of such securities for purposes of section 16 or any other purpose.
f6 the price reported in column 4 is a weighted average price. these shares were traded by 667 and life sciences in multiple transactions at prices ranging from $36.18 to $36.93, inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff, upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
f7 the price reported in column 4 is a weighted average price. these shares were traded by 667 and life sciences in multiple transactions at prices ranging from $37.06 to $37.96, inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff, upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
f8 the price reported in column 4 is a weighted average price. these shares were traded by 667 and life sciences in multiple transactions at prices ranging from $38.35 to $38.98, inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff, upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
WhaleWisdom Logo

Elevate your investments