Statement of Changes in Beneficial Ownership (4)
September 08 2021 - 7:01PM
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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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
*
DICICCO WENDY F |
2. Issuer Name and Ticker or Trading Symbol
Renovacor, Inc.
[
RCOR
]
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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) Interim CFO |
(Last)
(First)
(Middle)
C/O RENOVACOR, INC., P.O. BOX 8142 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/3/2021 |
(Street)
GREENWICH, CT 06836
(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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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 |
Option | $7.73 | 9/3/2021 | | A | | 14553 | | (1) | 9/3/2031 | Common Stock | 14553 | $0 | 14553 | D | |
Explanation of Responses: |
(1) | 50% of this stock option will vest and become exercisable on April 1, 2022, and the remaining 50% will vest and become exercisable on September 3, 2022, subject to the Reporting Person's continued service as Interim Chief Financial Officer of the Issuer. The stock options will also vest in full if, prior to the vesting date, the Reporting Person is terminated without Cause (as defined in the Consulting Agreement by and between the Issuer and Danforth Advisors, LLC, dated September 27, 2019, as amended). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DICICCO WENDY F C/O RENOVACOR, INC. P.O. BOX 8142 GREENWICH, CT 06836 |
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| Interim CFO |
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Signatures
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/s/ Joseph Carroll, as attorney-in-fact | | 9/8/2021 |
**Signature of Reporting Person | Date |
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