Initial Statement of Beneficial Ownership (3)
September 05 2019 - 5:27PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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Anderson Kirstin |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/26/2019
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3. Issuer Name and Ticker or Trading Symbol
Sesen Bio, Inc. [SESN]
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(Last)
(First)
(Middle)
C/O SESEN BIO INC, 245 FIRST STREET - SUITE 1800 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Principal Accounting Officer / |
(Street)
CAMBRIDGE, MA 02142
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 32228 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | (2) | 9/2/2024 | Common Stock | 2400.0 | $11.95 | D | |
Employee Stock Option (Right to Buy) | (3) | 5/20/2025 | Common Stock | 2200.0 | $3.1 | D | |
Employee Stock Option (Right to Buy) | (4) | 1/28/2026 | Common Stock | 2500.0 (5) | $0.32 | D | |
Employee Stock Option (Right to Buy) | (6) | 10/3/2027 | Common Stock | 15000.0 | $1.59 | D | |
Employee Stock Option (Right to Buy) | (7) | 4/9/2028 | Common Stock | 8000.0 | $1.5 | D | |
Employee Stock Option (Right to Buy) | (8) | 2/21/2029 | Common Stock | 37000.0 | $0.8285 | D | |
Explanation of Responses: |
(1) | Represents shares purchased at various dates through 09/14/2017 through the exercise of vested stock options and participation in the Company's 2014 Employee Stock Purchase Plan. |
(2) | This option was granted on 09/03/2014. 25% of the shares subject to such option shall vest on the first anniversary of the date of grant of the option and an additional 6.25% of the shares underlying the option shall vest at the end of each successive three-month period thereafter until the fourth anniversary of the date of grant of the option. |
(3) | This option was granted on 05/21/2015. 1/24th of the shares subject to such option shall vest on the 21st day of each successive month until the second anniversary of the date of grant of the option. |
(4) | This option was granted on 01/29/2016. 6.25% of the shares subject to such option shall vest at the end of each successive three-month period until the fourth anniversary of the date of grant of the option. |
(5) | 469 vested options were exercised 12/06/2016 and are included above in common stock holdings. |
(6) | This option was granted on 10/04/2017. 25% of the shares subject to such option were immediately vested and an additional 25% of the shares underlying the option shall vest at the end of each successive six-month period until 18 months after the date of grant of the option. |
(7) | This option was granted on 04/09/2018. 6.25% of the shares subject to such option shall vest at the end of each successive three-month period until the fourth anniversary of the date of grant of the option. |
(8) | This option was granted on 02/21/2019. 6.25% of the shares subject to such option shall vest at the end of each successive three-month period until the fourth anniversary of the date of grant of the option. |
Remarks: Form 3 filed as a result of designation as Principal Accounting Officer by the Board of Directors on 08/26/2019. Exhibit List: Exhibit 24: Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Anderson Kirstin C/O SESEN BIO INC 245 FIRST STREET - SUITE 1800 CAMBRIDGE, MA 02142 |
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| Principal Accounting Officer |
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Signatures
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/s/ Mark R. Sullivan
General Counsel | | 9/5/2019 |
**Signature of Reporting Person | Date |
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