Statement of Changes in Beneficial Ownership (4)
December 04 2020 - 6:14PM
Edgar (US Regulatory)
FORM 4
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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
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SHAW DAVID E |
2. Issuer Name and Ticker or Trading Symbol
Schrodinger, Inc.
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SDGR
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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)
120 WEST 45TH STREET, 39TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/2/2020 |
(Street)
NEW YORK, NY 10036
(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, par value $0.01 per share | 12/2/2020 | | S(1) | | 7062 | D | $64.5354 (2) | 10143621 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/2/2020 | | S(1) | | 39177 | D | $65.7074 (4) | 10104444 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/2/2020 | | S(1) | | 16368 | D | $66.3371 (5) | 10088076 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/3/2020 | | S(1) | | 32349 | D | $64.8726 (6) | 10055727 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/3/2020 | | S(1) | | 31336 | D | $65.9256 (7) | 10024391 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/3/2020 | | S(1) | | 947 | D | $66.4273 (8) | 10023444 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/4/2020 | | S(1) | | 6898 | D | $63.3447 (9) | 10016546 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/4/2020 | | S(1) | | 9979 | D | $64.1647 (10) | 10006567 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/4/2020 | | S(1) | | 32961 | D | $65.5486 (11) | 9973606 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | 12/4/2020 | | S(1) | | 30162 | D | $66.0836 (12) | 9943444 | I | Held by Schrodinger Equity Holdings, LLC (3) |
Common Stock, par value $0.01 per share | | | | | | | | 4264 | I | Held by D. E. Shaw Technology Development, LLC (13) |
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) | The transactions reported in this line of this Form 4 were effected pursuant to a Rule 10b5-1 sales plan dated August 13, 2020. |
(2) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $64.11 to $65.10, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(3) | Schrodinger Equity Holdings, LLC, which holds these securities, is owned in its entirety through a trust of which David E. Shaw is the trustee and beneficiary. |
(4) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $65.11 to $66.105, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(5) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $66.11 to $66.89, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(6) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $64.39 to $65.385, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(7) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $65.39 to $66.37, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(8) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $66.39 to $66.55, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(9) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $62.81 to $63.80, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(10) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $63.81 to $64.70, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(11) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $64.85 to $65.84, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(12) | This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $65.85 to $66.39, inclusive. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(13) | David E. Shaw is President and sole shareholder of D. E. Shaw & Co. II, Inc., which is the sole member of D. E. Shaw Technology Development, LLC. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SHAW DAVID E 120 WEST 45TH STREET, 39TH FLOOR NEW YORK, NY 10036 |
| X |
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Schrodinger Equity Holdings, LLC 120 WEST 45TH STREET, 39TH FLOOR NEW YORK, NY 10036 |
| X |
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Signatures
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David E. Shaw, By: /s/ Charles Ardai, as Attorney-in-Fact for David E. Shaw | | 12/4/2020 |
**Signature of Reporting Person | Date |
Schrodinger Equity Holdings, LLC, By: /s/ Charles Ardai, Authorized Signatory | | 12/4/2020 |
**Signature of Reporting Person | Date |
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