SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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* PFIZER INC (Last) (First) (Middle) 235 E 42ND ST (Street) NEW YORK NY 10017 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 12/15/2020	3. Issuer Name and Ticker or Trading Symbol BioAtla, Inc. [ BCAB ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner Officer (give title below) Other (specify below)	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person X Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series D Convertible Preferred Stock	(1)	(1)	Common Stock	2,238,090	(1)	I	See Footnote 2(2)

1. Name and Address of Reporting Person* PFIZER INC (Last) (First) (Middle) 235 E 42ND ST (Street) NEW YORK NY 10017 (City) (State) (Zip)

1. Name and Address of Reporting Person* Pfizer Ventures (US) LLC (Last) (First) (Middle) 235 EAST 42ND STREET (Street) NEW YORK NY 10017 (City) (State) (Zip)

Explanation of Responses:

1. Each share of Series D Convertible Preferred Stock will automatically convert into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. These share numbers reflect the 1-for-13 reverse split of the Common Stock effected by the Issuer on December 2, 2020. The Series D Convertible Preferred Stock has no expiration date.

2. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.

	Pfizer Inc. By: /s/Susan Grant, Assistant Secretary	12/15/2020
	Pfizer Ventures (US) LLC By: /s/Susan Grant, Secretary	12/15/2020
	** Signature of Reporting Person	Date
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 5 (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).
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