Statement of Changes in Beneficial Ownership (4)
June 17 2020 - 5:48PM
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
*
Novartis Bioventures Ltd |
2. Issuer Name and Ticker or Trading Symbol
Galera Therapeutics, Inc.
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GRTX
]
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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)
FORUM 1 - 1.32, LICHTSTRASSE 35, CH-4056 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/15/2020 |
(Street)
BASEL, V8 CH-4056
(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 | 6/15/2020 | | S | | 6164 | D | $9.05 (1) | 3483395 | D (2) | |
Common Stock | 6/16/2020 | | S | | 8600 | D | $9.30 (3) | 3474795 | D (2) | |
Common Stock | 6/17/2020 | | S | | 4622 | D | $9.27 (4) | 3470173 | D (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) | Reflects sales of common stock executed in multiple transactions at prices ranging from $9.00 to $9.10. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. |
(2) | Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
(3) | Reflects sales of common stock executed in multiple transactions at prices ranging from $9.07 to $9.37. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. |
(4) | Reflects sales of common stock executed in multiple transactions at prices ranging from $9.25 to $9.32. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Novartis Bioventures Ltd FORUM 1 - 1.32, LICHTSTRASSE 35, CH-4056 BASEL, V8 CH-4056 |
| X |
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NOVARTIS AG LICHTSTRASSE 35, CH-4056 BASEL, V8 CH-4056 |
| X |
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Signatures
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/s/ Bartosz Dzikowski, Secretary of the Board of Novartis Bioventures Ltd | | 6/17/2020 |
**Signature of Reporting Person | Date |
/s/ Beat Steffen, Authorized Signatory on behalf of Novartis Bioventures Ltd | | 6/17/2020 |
**Signature of Reporting Person | Date |
/s/ Bartosz Dzikowski, Authorized Signatory on behalf of Novartis AG | | 6/17/2020 |
**Signature of Reporting Person | Date |
/s/ Beat Steffen, Authorized Signatory on behalf of Novartis AG | | 6/17/2020 |
**Signature of Reporting Person | Date |
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