Statement of Changes in Beneficial Ownership (4)
February 07 2020 - 12:58PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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ASTRAZENECA PLC |
2. Issuer Name and Ticker or Trading Symbol
Aevi Genomic Medicine, Inc.
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GNMX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1 FRANCIS CRICK AVENUE, CAMBRIDGE BIOMEDICAL CAMPUS |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/19/2019 |
(Street)
CAMBRIDGE, X0 CB2 0AA
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/19/2019 | | P(1) | | 12946900 | A | (1) | 12946900 | I | See footnote (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | All of these securities were issued to MedImmune Limited in satisfaction of the Issuer's obligations to MedImmune Limited pursuant to the Option and License Agreement, dated August 6, 2019, between the Issuer and MedImmune Limited. |
(2) | All of these securities are owned by MedImmune Limited, which is a wholly-owned subsidiary of AstraZeneca PLC. AstraZeneca PLC may be deemed to beneficially own the shares held by MedImmune Limited, but disclaims beneficial ownership except to the extent of its pecuniary interest therein, if any. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ASTRAZENECA PLC 1 FRANCIS CRICK AVENUE CAMBRIDGE BIOMEDICAL CAMPUS CAMBRIDGE, X0 CB2 0AA |
| X |
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MedImmune Ltd 1 FRANCIS CRICK AVENUE CAMBRIDGE BIOMEDICAL CAMPUS CAMBRIDGE, X0 CB2 0AA |
| X |
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Signatures
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AstraZeneca PLC, By: /s/ Adrian Kemp | | 2/7/2020 |
**Signature of Reporting Person | Date |
MedImmune Limited, By: /s/ Adrian Kemp | | 2/7/2020 |
**Signature of Reporting Person | Date |
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