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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 7.86 | 12/18/2019 | A | 380,325 | (1) | 07/28/2029 | Common Stock | 380,325 | (2) | 380,325 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zeldin Robert K 320 W 37TH STREET, 3RD FLOOR NEW YORK, NY 10018 |
Chief Medical Officer |
/s/ W. Bradford Middlekauff, attorney-in-fact for Robert K. Zeldin | 12/20/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter. |
(2) | In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 777,656 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC). |