Statement of Changes in Beneficial Ownership (4)
November 02 2021 - 06:09PM
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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3235-0287
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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
*
Shams Soheil |
2. Issuer Name and Ticker or Trading Symbol
Bionano Genomics, Inc.
[
BNGO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Informatics Officer |
(Last)
(First)
(Middle)
C/O BIONANO GENOMICS, INC., 9540 TOWNE CENTRE DRIVE, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2021 |
(Street)
SAN DIEGO, CA 92121
(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)
_X
_ Form filed by One Reporting Person
___ 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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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 |
Stock Option (Right to Buy) | $5.40 | 11/1/2021 | | A | | 400000 | | (1) | 11/1/2031 | Common Stock | 400000 | $0.00 | 400000 | D | |
Explanation of Responses: |
(1) | 25% of the shares subject to the option shall vest and become exercisable on October 18, 2022, and the remaining shares shall vest in a series of 36 successive equal monthly installments measured from October 18, 2022, subject to Reporting Person's Continuous Service (as defined in the Company's 2020 Inducement Plan) through each such applicable vesting date and the terms of the Company's 2020 Inducement Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Shams Soheil C/O BIONANO GENOMICS, INC. 9540 TOWNE CENTRE DRIVE, SUITE 100 SAN DIEGO, CA 92121 |
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| Chief Informatics Officer |
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Signatures
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/s/ R. Erik Holmlin, Attorney-in-Fact | | 11/2/2021 |
**Signature of Reporting Person | Date |
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