Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-21-007976
Date:2021-04-09
Issuer: NUVATION BIO INC. (NUVB)
Original Submission Date:

Reporting Person:

NODELMAN OLEG
357 TEHAMA STREET #3
SAN FRANCISCO, CA 94103

Reporting Person:

ECOR1 CAPITAL, LLC
357 TEHAMA STREET #3
SAN FRANCISCO, CA 94103

Reporting Person:

ECOR1 CAPITAL FUND, L.P.
357 TEHAMA STREET #3
SAN FRANCISCO, CA 94103

Reporting Person:

ECOR1 CAPITAL FUND QUALIFIED, L.P.
409 ILLINOIS STREET
SAN FRANCISCO, CA 94158

Reporting Person:

ECOR1 VENTURE OPPORTUNITY FUND, LP
357 TEHAMA STREET #3
SAN FRANCISCO, CA 94103

Reporting Person:

ECOR1 PANACEA HOLDINGS, LLC
357 TEHAMA STREET, FLOOR 3
SAN FRANCISCO, CA 94103

Reporting Person:

BIOTECH OPPORTUNITY GP, LLC
1370 TRANCAS STREET, SUITE 176
NAPA, CA 94558

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
CLASS A COMMON STOCK 2021-04-09 P 262,230 a $10.03 6,846,476 indirect f1,f2
CLASS A COMMON STOCK 2021-04-09 P 37,770 a $10.03 1,334,914 indirect f1,f3
CLASS A COMMON STOCK 2021-04-12 P 116,255 a $9.49 6,962,731 indirect f1,f2
CLASS A COMMON STOCK 2021-04-12 P 16,745 a $9.49 1,351,659 indirect f1,f3
CLASS A COMMON STOCK 2021-04-13 P 27,534 a $10.27 6,990,265 indirect f1,f2
CLASS A COMMON STOCK 2021-04-13 P 3,966 a $10.27 1,355,625 indirect f1,f3
CLASS A COMMON STOCK 0 $0.00 3,165,000 indirect f4
CLASS A COMMON STOCK 0 $0.00 2,200,627 indirect 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 ecor1 capital, llc ("ecor1") is the investment adviser to ecor1 capital fund, l.p. ("capital fund"), ecor1 capital fund qualified, l.p. ("qualified fund") and ecor1 venture opportunity fund, l.p. ("venture fund"). ecor1 is the general partner of capital fund and qualified fund, and biotech opportunity gp, llc ("biotech") is the general partner of venture fund. mr. nodelman is the manager and controlling owner of ecor1 and biotech. the funds hold these securities directly for the benefit of their investors. ecor1 indirectly beneficially owns them as the investment adviser to the funds. mr. nodelman indirectly beneficially owns them as the control person of ecor1. the reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
f2 qualified fund is the record holder of these securities.
f3 capital fund is the record holder of these securities.
f4 ecor1 panacea holdings, llc, which is the owner of record of these securities, is managed by its managing members, capital fund, qualified fund and venture fund. each of the reporting persons may be deemed a beneficial owner of shares held by ecor1 panacea holdings, llc, but each reporting person disclaims beneficial ownership of any such shares except to the extent of its respective pecuniary interest therein.
f5 these securities are held of record by venture fund. biotech indirectly beneficially owns these securities as the general partner of venture fund, and mr. nodelman indirectly beneficially owns these securities as the control person of biotech and ecor1.

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