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BioAtla (NASDAQ: BCAB) CEO reports routine tax-share withholdings after RSU vesting

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

BioAtla, Inc. director and Chief Executive Officer Jay M. Short reported routine tax-related share dispositions rather than open-market sales. On March 12, 2026 and May 31, 2026, a total of 898 shares of common stock were withheld by the company to cover income tax obligations tied to vesting restricted stock units.

After the most recent withholding of 259 shares at $3.93 per share, Short directly holds 52,294 common shares, with additional indirect holdings through entities and a spouse. Reported amounts reflect a 50-for-1 share consolidation of BioAtla common stock effective on April 6, 2026.

Positive

  • None.

Negative

  • None.
Insider SHORT JAY M PHD
Role Chief Executive Officer
Type Security Shares Price Value
Tax Withholding Common Stock 259 $3.93 $1K
Tax Withholding Common Stock 639 $0.168 $107.35
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 52,294 shares (Direct, null); Common Stock — 15,870 shares (Indirect, By Spouse)
Footnotes (1)
  1. This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units. Effective on April 6, 2026, the Issuer effected a 50-for-1 share consolidation of its common stock (the "Share Consolidation"). The amount of securities reported on this Form 4 has been adjusted to reflect the Share Consolidation. The Reporting Person and his spouse are the managers of Himalaya Parent LLC and collectively make investment decisions on the behalf of the entity. The Reporting Person and his spouse disclaim beneficial ownership of the reported securities except to the extent of his or her pecuniary interest therein.
Tax-withheld shares (total) 898 shares Shares withheld to satisfy tax obligations on RSU vesting
Tax-withheld shares (May 31, 2026) 259 shares at $3.93/share Common stock withheld for income tax obligations
Tax-withheld shares (Mar 12, 2026) 639 shares at $0.168/share Common stock withheld for income tax obligations
Direct holdings after latest transaction 52,294 shares Common stock directly held by CEO after May 31, 2026
Indirect holding via Capia IP, LLC 6,046 shares Common stock held indirectly through Capia IP, LLC
Indirect holding via spouse 15,870 shares Common stock held indirectly by spouse
Share consolidation ratio 50-for-1 BioAtla common stock share consolidation effective April 6, 2026
tax-withholding disposition financial
"transaction_action: tax-withholding disposition"
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
restricted stock units financial
"in connection with the vesting and net settlement of previously reported restricted stock units"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
share consolidation financial
"effected a 50-for-1 share consolidation of its common stock"
Share consolidation is a process where a company reduces the total number of its shares by combining multiple existing shares into a smaller number of higher-value shares. This can make each share more expensive and potentially improve the company’s image. For investors, it often means their ownership remains the same, but the value of each share increases, which can influence how the stock is perceived and traded.
beneficial ownership financial
"disclaim beneficial ownership of the reported securities except to the extent of his or her pecuniary interest"
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
pecuniary interest financial
"except to the extent of his or her pecuniary interest therein"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
SHORT JAY M PHD
(Last)(First)(Middle)
C/O BIOATLA, INC. 11085 TORREYANA ROAD
(Street)
SAN DIEGO CALIFORNIA 92121
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
BioAtla, Inc. [ BCAB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
Chief Executive Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/12/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock03/12/2026F(1)639D$0.16852,553(2)D
Common Stock05/31/2026F(1)259D$3.9352,294(2)D
Common Stock15,870(2)IBy Spouse
Common Stock5,174(2)IBy Carolyn Short 2020 Irrevocable Gift Trust
Common Stock5,174(2)IBy Jay Short 2020 Irrevocable Gift Trust
Common Stock6,046(2)IBy Capia IP, LLC
Common Stock1(2)IBy Himalaya Parent LLC(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction 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 (Month/Day/Year)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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.
2. Effective on April 6, 2026, the Issuer effected a 50-for-1 share consolidation of its common stock (the "Share Consolidation"). The amount of securities reported on this Form 4 has been adjusted to reflect the Share Consolidation.
3. The Reporting Person and his spouse are the managers of Himalaya Parent LLC and collectively make investment decisions on the behalf of the entity. The Reporting Person and his spouse disclaim beneficial ownership of the reported securities except to the extent of his or her pecuniary interest therein.
Christian Vasquez, as Attorney-in-Fact for Jay M. Short06/05/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did BioAtla (BCAB) CEO Jay M. Short report?

Jay M. Short reported tax-withholding dispositions, not open-market sales. BioAtla withheld 898 common shares in total to satisfy income tax obligations when previously granted restricted stock units vested and were settled in stock for the CEO.

How many BioAtla (BCAB) shares were withheld for CEO tax obligations?

A total of 898 BioAtla common shares were withheld for taxes. This includes 639 shares at $0.168 per share on March 12, 2026, and 259 shares at $3.93 per share on May 31, 2026, related to restricted stock unit vesting.

Does the BioAtla (BCAB) Form 4 show the CEO selling shares on the market?

No, the filing states these are not sales by the CEO. Footnotes explain the shares were withheld by BioAtla to cover income tax and withholding obligations connected to vesting restricted stock units, rather than discretionary market sales.

How many BioAtla (BCAB) shares does the CEO hold directly after these transactions?

Jay M. Short directly holds 52,294 BioAtla common shares after the latest withholding. This direct position reflects the share count following the May 31, 2026 tax-withholding disposition of 259 shares reported in the Form 4.

How did BioAtla’s 50-for-1 share consolidation affect this Form 4?

All reported amounts are adjusted for a 50-for-1 share consolidation. A footnote states BioAtla effected a 50-for-1 consolidation of its common stock effective April 6, 2026, and the share figures in this Form 4 have been updated accordingly.