Bioatla, Inc. SEC Filings

Jay M. Short, Chief Executive Officer, Director and reported 10% owner of BioAtla, Inc. (BCAB), filed a Form 4 disclosing a non-sale transaction on 08/31/2025. The filing shows 6,347 shares of Common Stock were withheld by the issuer at a price of $0.4555 to satisfy income tax and withholding obligations related to the vesting and net settlement of previously reported restricted stock units. After the withholding, the reporting person directly beneficially owned 2,243,678 shares. The Form 4 also reports indirect holdings: 793,547 shares held by spouse, two trusts with 258,727 shares each, 302,324 shares by Capia IP, LLC, and 50 shares by Himalaya Parent LLC, where the reporting person and spouse are managers. The filing was signed by an attorney-in-fact on 09/02/2025.

Christian Vasquez, an officer at BioAtla, Inc. (BCAB) who serves as Chief Accounting Officer, Corporate Controller and Secretary, reported a transaction dated 08/31/2025 in which 1,566 shares of common stock were withheld by the issuer at a price of $0.4555 per share to satisfy income tax and withholding obligations related to the vesting and net settlement of previously reported restricted stock units. The filing shows 283,564 shares beneficially owned following the transaction and is signed by Mr. Vasquez on 09/02/2025. The filer explains this is not a sale but a withholding to cover taxes on vested RSUs.

Eric Sievers, Chief Medical Officer of BioAtla, Inc. (BCAB), reported a withholding transaction tied to vested restricted stock units. On 08/31/2025, 2,729 shares were withheld at an effective price of $0.4555 to satisfy income tax and withholding obligations related to prior RSU vesting. After the withholding, the filing shows 364,574 shares beneficially owned by Sievers. The Form 4 was signed by an attorney-in-fact on 09/02/2025. The filing explicitly states this was a net settlement withholding, not an open-market sale.

Richard A. Waldron, Chief Financial Officer of BioAtla, Inc. (BCAB), reported a transaction dated 08/31/2025 in which 2,371 shares of common stock were disposed of under code F(1) at a price of $0.4555 per share. The filing states these shares were withheld by the issuer to satisfy income tax withholding and remittance obligations related to the vesting and net settlement of previously reported restricted stock units. Following the withholding, the reporting person beneficially owns 338,521 shares (direct ownership). The Form 4 was filed by one reporting person and signed by an attorney-in-fact on 09/02/2025.

BioAtla, Inc. (Nasdaq: BCAB) filed a Form 8-K covering two routine corporate matters: approval of its 2025 Corporate Bonus Plan and the final results of its 2025 Annual Meeting of Stockholders.

2025 Corporate Bonus Plan (Item 5.02): On 17 June 2025 the Board’s Compensation Committee adopted a cash-based incentive plan for the Chief Executive Officer, Chief Financial Officer and Chief Medical Officer. Payouts are driven by four weighted corporate performance goals—clinical development milestones (25%), financing objectives (50%), financial & people objectives (20%), and brand awareness (5%). A minimum threshold of 50 % aggregate achievement is required for any payout; actual bonuses may range from 50 % to 125 % of the executive’s target opportunity. Target bonuses are set as a percentage of base salary: 60 % for CEO Jay Short and 40 % for both CFO Richard Waldron and CMO Eric Sievers.

Annual Meeting results (Item 5.07): Held virtually on 18 June 2025, the meeting reached a quorum with 30,358,471 shares (≈52 % of shares outstanding) represented. Shareholders re-elected three Class II directors for three-year terms, with Lawrence Steinman, M.D. receiving the highest support (11.6 million votes for). Ernst & Young LLP was ratified as independent auditor for FY 2025 (30.2 million votes for; 99.5 % support). A non-binding “say-on-pay” resolution passed with 8.96 million votes in favor versus 4.49 million against.

No other material transactions, earnings data, or strategic changes were disclosed in this filing.

Form 4 Filing Overview – BioAtla, Inc. (BCAB)

On 18 June 2025, BioAtla filed a Form 4 disclosing that director Susan Moran acquired 23,500 shares of the company’s common stock through a new time-based restricted stock unit (RSU) grant. The award was recorded with transaction code “A” (acquisition) at a deemed price of $0, reflecting an equity compensation grant rather than an open-market purchase.

The RSU vests 100 % on the earlier of 18 June 2026 or the next annual shareholder meeting, contingent on Ms. Moran’s continued board service. Following the grant, her total beneficial ownership rises to 52,307 shares, all held directly.

No derivative securities, sales, or additional transactions were reported. The filing represents routine director compensation and does not involve cash proceeds, option exercises, or insider sales. While it modestly increases insider ownership, it does not provide new information on BioAtla’s operating performance, strategy, or financial outlook.

BioAtla director Eddie Williams received a significant equity grant on June 18, 2025, consisting of 23,500 restricted stock units (RSUs). The RSUs were granted at $0 cost and will fully vest on the earlier of June 18, 2026, or the next annual stockholder meeting, contingent on Williams' continued service.

Following this transaction, Williams' direct beneficial ownership increased to 60,200 shares. The grant represents a standard director compensation arrangement and was reported in compliance with SEC Section 16(a) requirements.

Key details of the RSU grant:

• Time-based vesting structure with one-year cliff
• No exercise price as these are RSUs, not options
• Direct ownership form
• Filed via power of attorney through Christian Vasquez