Amended Statement of Changes in Beneficial Ownership (4/a)
01 Settembre 2021 - 1:53AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Dalal Anupam |
2. Issuer Name and Ticker or Trading Symbol
Aadi Bioscience, Inc.
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AADI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O AADI BIOSCIENCE, INC., 17383 SUNSET BOULEVARD, SUITE A250 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/26/2021 |
(Street)
PACIFIC PALISADES, CA 90272
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/30/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/26/2021 | | P | | 1529402 | A | $13.077 | 1529402 | I | See footnote (1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Consists of (i) 1,284,698 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 244,704 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Managing Member of Acuta Partners. The Reporting Person has voting and investment authority over all of the shares held by each of Acuta Capital and Acuta Opportunity Fund. Each of Acuta Partners and the Reporting Person disclaim beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein. |
(2) | This amendment is filed to correct footnote (1) included in the Form 4 filed August 30, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dalal Anupam C/O AADI BIOSCIENCE, INC. 17383 SUNSET BOULEVARD, SUITE A250 PACIFIC PALISADES, CA 90272 | X |
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Signatures
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/s/ Neil Desai, as Attorney-in-Fact | | 8/31/2021 |
**Signature of Reporting Person | Date |
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