Statement of Changes in Beneficial Ownership (4)
June 15 2021 - 8:57AM
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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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
*
Macias William L. |
2. Issuer Name and Ticker or Trading Symbol
Immunovant, Inc.
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IMVT
]
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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 Medical Officer |
(Last)
(First)
(Middle)
C/O IMMUNOVANT, INC., 320 W 37TH STREET, 6TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/11/2021 |
(Street)
NEW YORK, NY 10018
(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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Common Stock (1) | 6/11/2021 | | A | | 18674 (2) | A | $0 | 18674 | D | |
Common Stock (1) | 6/11/2021 | | A | | 93371 (3) | A | $0 | 112045 | 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. 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) | $10.71 | 6/11/2021 | | A | | 369320 | | (4) | 6/11/2031 | Common Stock | 369320.0 | $0 | 369320 | D | |
Explanation of Responses: |
(1) | Represents the number of shares underlying restricted stock units awards ("RSUs"). |
(2) | The RSUs vest over four years, with 25% of the RSUs vesting on April 13, 2022 and the remainder of the RSUs vesting in 12 equal quarterly installments thereafter, subject to the Reporting Person providing continuous service to the Issuer as of each such date. |
(3) | The RSUs vest in their entirety on December 31, 2021, subject to the Reporting Person providing continuous service to the Issuer as of such date. |
(4) | Shares underlying the options vest over four years, with 25% of the shares underlying the options vesting on April 13, 2022 and the remainder of the shares underlying the options vesting in 12 equal quarterly installments thereafter, subject to the Reporting Person providing continuous service to the Issuer as of each such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Macias William L. C/O IMMUNOVANT, INC. 320 W 37TH STREET, 6TH FLOOR NEW YORK, NY 10018 |
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| Chief Medical Officer |
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Signatures
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/s/ Pamela Yanchik Connealy, attorney-in-fact for William L. Macias | | 6/15/2021 |
**Signature of Reporting Person | Date |
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