# EDGAR Filing Document

**Accession Number:** 0001674712
**File Stem:** 0001213900-23-010818
**Filing Date:** 2023-2
**Character Count:** 8473
**Document Hash:** 30e76c2d22e5eba0859402294367a37c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-010818.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001213900-23-010818

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**EFFECTIVENESS DATE**: 20230213

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Vivo Capital, LLC
- **CENTRAL INDEX KEY:** 0001674712
- **IRS NUMBER:** 203075737
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-17467
- **FILM NUMBER:** 23619800

**BUSINESS ADDRESS:**
- **STREET 1:** 192 LYTTON AVENUE
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94301
- **BUSINESS PHONE:** 650-688-0818

**MAIL ADDRESS:**
- **STREET 1:** 192 LYTTON AVENUE
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94301

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Vivo Capital LLC<br>**Address:** 192 Lytton Avenue<br>Palo Alto, CA 94301

**Form 13F File Number:** 028-17467

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Zhanping Wu<br>**Title:** Chief Compliance Officer<br>**Phone:** 650-688-0818

**Signature, Place, and Date of Signing:**

/s/ Zhanping Wu  Palo Alto, CA  02-13-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 48

**Form 13F Information Table Value Total:** $868543

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| Aadi Bioscience Inc | Common | 00032Q104 |  | 6538 | 509572 | SH |  | SOLE |  | 509572 | 0 | 0 |
| Aclaris Therapeutics Inc. | Common | 00461U105 |  | 14153 | 898631 | SH |  | SOLE |  | 898631 | 0 | 0 |
| Aligos Therapeutics Inc | Common | 01626L105 |  | 3380 | 3547030 | SH |  | SOLE |  | 3547030 | 0 | 0 |
| Allakos Inc | Common | 01671P100 |  | 34692 | 4120134 | SH |  | SOLE |  | 4120134 | 0 | 0 |
| ALX Oncology Holdings Inc | Common | 00166B105 |  | 47560 | 4220048 | SH |  | SOLE |  | 4220048 | 0 | 0 |
| Amyris Inc | Common | 03236M200 |  | 11859 | 7750828 | SH |  | SOLE |  | 7750828 | 0 | 0 |
| Arrowhead Pharmaceuticals Inc | Common | 04280A100 |  | 5573 | 137411 | SH |  | SOLE |  | 137411 | 0 | 0 |
| Aslan Pharmaceuticals Ltd | ADS | 04522R101 |  | 1023 | 2840909 | SH |  | SOLE |  | 2840909 | 0 | 0 |
| Astria Therapeutics Inc | Common | 04635X102 |  | 25033 | 1681199 | SH |  | SOLE |  | 1681199 | 0 | 0 |
| Avadel Pharmaceuticals PLC | ADR | 05337M104 |  | 19719 | 2754095 | SH |  | SOLE |  | 2754095 | 0 | 0 |
| Bellus Health Inc | Common | 07987C204 |  | 8361 | 1017152 | SH |  | SOLE |  | 1017152 | 0 | 0 |
| BioAtla Inc | Common | 09077B104 |  | 5257 | 637181 | SH |  | SOLE |  | 637181 | 0 | 0 |
| Bolt Therapeutics Inc | Common | 097702104 |  | 5033 | 3871291 | SH |  | SOLE |  | 3871291 | 0 | 0 |
| Chinook Therapeutics Inc | Common | 16961L106 |  | 22850 | 872151 | SH |  | SOLE |  | 872151 | 0 | 0 |
| Cincor Pharma Inc | Common | 17240Y109 |  | 5182 | 421635 | SH |  | SOLE |  | 421635 | 0 | 0 |
| Codexis Inc | Common | 192005106 |  | 1809 | 388144 | SH |  | SOLE |  | 388144 | 0 | 0 |
| Cogent Biosciences Inc | Common | 19240Q201 |  | 23062 | 1994941 | SH |  | SOLE |  | 1994941 | 0 | 0 |
| Compass Therapeutics Inc | Common | 20454B104 |  | 17895 | 3557630 | SH |  | SOLE |  | 3557630 | 0 | 0 |
| DBV Technologies SA | Sponsored ADR | 23306J101 |  | 4145 | 2708875 | SH |  | SOLE |  | 2708875 | 0 | 0 |
| Dyne Therapeutics Inc | Common | 26818M108 |  | 6695 | 577642 | SH |  | SOLE |  | 577642 | 0 | 0 |
| Genetron Holdings Ltd | ADS | 37186H100 |  | 9099 | 8124174 | SH |  | SOLE |  | 8124174 | 0 | 0 |
| Geron Corp | Common | 374163103 |  | 46664 | 19282834 | SH |  | SOLE |  | 19282834 | 0 | 0 |
| Gracell Biotechnologies Inc | SPONSORED ADS | 38406L103 |  | 2211 | 961358 | SH |  | SOLE |  | 961358 | 0 | 0 |
| Harmony Biosciences Holdings Inc | Common | 413197104 |  | 143604 | 2606247 | SH |  | SOLE |  | 2606247 | 0 | 0 |
| Homology Medicines Inc. | Common | 438083107 |  | 466 | 370068 | SH |  | SOLE |  | 370068 | 0 | 0 |
| Immunic Inc | Common | 4525EP101 |  | 833 | 632184 | SH |  | SOLE |  | 632184 | 0 | 0 |
| Impel NeuroPharma Inc | Common | 45258K109 |  | 43272 | 2884789 | SH |  | SOLE |  | 2884789 | 0 | 0 |
| Instil Bio Inc | Common | 45783C101 |  | 7867 | 12486787 | SH |  | SOLE |  | 12486787 | 0 | 0 |
| IO Biotech Inc | Common | 449778109 |  | 6936 | 3015545 | SH |  | SOLE |  | 3015545 | 0 | 0 |
| Iovance Biotherapeutics Inc | Common | 462260100 |  | 4186 | 655057 | SH |  | SOLE |  | 655057 | 0 | 0 |
| KalVista Pharmaceuticals Inc. | Common | 483497103 |  | 5787 | 856008 | SH |  | SOLE |  | 856008 | 0 | 0 |
| Legend Biotech Corp Sponsored | SPONSORED ADS | 52490G102 |  | 12199 | 244375 | SH |  | SOLE |  | 244375 | 0 | 0 |
| Merus NV | Common | N5749R100 |  | 6785 | 438590 | SH |  | SOLE |  | 438590 | 0 | 0 |
| Minerva Surgical Inc | Common | 60343F106 |  | 495 | 2215667 | SH |  | SOLE |  | 2215667 | 0 | 0 |
| Olema Pharmaceuticals Inc | Common | 68062P106 |  | 4139 | 1689515 | SH |  | SOLE |  | 1689515 | 0 | 0 |
| Precision Biosciences Inc | Common | 74019P108 |  | 167 | 140255 | SH |  | SOLE |  | 140255 | 0 | 0 |
| Rezolute Inc | Common | 76200L309 |  | 1013 | 489473 | SH |  | SOLE |  | 489473 | 0 | 0 |
| Sera Prognostics Inc | Common | 81749D107 |  | 2339 | 1856011 | SH |  | SOLE |  | 1856011 | 0 | 0 |
| Sinovac Biotech Ltd. | SHS | P8696W104 |  | 38173 | 5900000 | SH |  | SOLE |  | 5900000 | 0 | 0 |
| Tarsus Pharmaceuticals Inc | Common | 87650L103 |  | 33164 | 2262200 | SH |  | SOLE |  | 2262200 | 0 | 0 |
| Terns Pharmaceuticals Inc | Common | 880881107 |  | 67778 | 6657992 | SH |  | SOLE |  | 6657992 | 0 | 0 |
| Vaxcyte Inc | Common | 92243G108 |  | 27787 | 579508 | SH |  | SOLE |  | 579508 | 0 | 0 |
| VectivBio Holding AG | Common | H9060V101 |  | 20218 | 2333300 | SH |  | SOLE |  | 2333300 | 0 | 0 |
| Ventyx Biosciences Inc | Common | 92332V107 |  | 42735 | 1303294 | SH |  | SOLE |  | 1303294 | 0 | 0 |
| Vera Therapeutics Inc | Common | 92337R101 |  | 7753 | 400666 | SH |  | SOLE |  | 400666 | 0 | 0 |
| Verona Pharma PLC | ADS | 925050106 |  | 3637 | 4249918 | SH |  | SOLE |  | 4249918 | 0 | 0 |
| Viridian Therapeutics Inc | Common | 92790C104 |  | 49020 | 1678207 | SH |  | SOLE |  | 1678207 | 0 | 0 |
| Zai Lab Ltd ADR | ADR | 98887Q104 |  | 10399 | 338721 | SH |  | SOLE |  | 338721 | 0 | 0 |

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