Statement of Changes in Beneficial Ownership (4)
June 22 2020 - 04:53PM
Edgar (US Regulatory)
FORM 4
[X] 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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APPROVAL
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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. [ GRTX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
_____ Officer (give title
below) __X__
Other (specify below)
Former 10% Owner |
(Last)
(First)
(Middle)
FORUM 1 - 1.32, LICHTSTRASSE 35, CH-4056 |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/18/2020
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(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
_ X _ Form filed by More than One Reporting
Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
6/18/2020 |
|
S |
|
900 |
D |
$9.04 (1) |
3469273 |
D (2) |
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Common Stock |
6/19/2020 |
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S |
|
1001312 |
D |
$8.25 (3) |
2467961 |
D (2) |
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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 |
Explanation of
Responses: |
(1) |
Reflects sales of common
stock executed in multiple transactions at prices ranging from
$9.00 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. |
(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
$8.25 to $9.17. 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
|
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 |
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|
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Former 10% Owner |
NOVARTIS AG
LICHTSTRASSE 35, CH-4056
BASEL, V8 CH-4056 |
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|
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Former 10% Owner |
Signatures
|
/s/ Bartosz Dzikowski, Secretary of the Board of
Novartis Bioventures Ltd |
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6/22/2020 |
**Signature of Reporting
Person |
Date |
/s/ Beat Steffen, Authorized Signatory on behalf
of Novartis Bioventures Ltd |
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6/22/2020 |
**Signature of Reporting
Person |
Date |
/s/ Bartosz Dzikowski, Authorized Signatory on
behalf of Novartis AG |
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6/22/2020 |
**Signature of Reporting
Person |
Date |
/s/ Beat Steffen, Authorized Signatory on behalf
of Novartis AG |
|
6/22/2020 |
**Signature of Reporting
Person |
Date |