Statement of Changes in Beneficial Ownership (4)
September 03 2020 - 12:53PM
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
*
Stewart Christopher P. |
2. Issuer Name and Ticker or Trading Symbol
Bionano Genomics, Inc
[
BNGO
]
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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 Financial Officer |
(Last)
(First)
(Middle)
C/O BIONANO GENOMICS, INC., 9540 TOWNE CENTRE DRIVE, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/1/2020 |
(Street)
SAN DIEGO, CA 92121
(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 |
Stock Option (Right to Buy) | $0.56 | 9/1/2020 | | A | | 350000 | | (1) | 9/1/2030 | Common Stock | 350000 | $0.00 | 350000 | D | |
Stock Option (Right to Buy) | $0.56 | 9/1/2020 | | A | | 225000 | | (2) | 9/1/2030 | Common Stock | 225000 | $0.00 | 225000 | D | |
Explanation of Responses: |
(1) | 25% of the shares subject to the stock option vest and become exercisable on September 1, 2021, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous service through each such applicable vesting date and the terms of the Issuer's 2020 Inducement Plan, subject to acceleration of vesting as provided for in that certain Employment Agreement, dated as of September 1, 2020, by and between the Issuer and the Reporting Person. |
(2) | The shares vest in full on December 31, 2020, subject to Reporting Person's continuous service through December 31, 2020, subject to acceleration of vesting provided in the Employment Agreement, dated as of September 1, 2020, by and between the Issuer and the Reporting Person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stewart Christopher P. C/O BIONANO GENOMICS, INC. 9540 TOWNE CENTRE DRIVE, SUITE 100 SAN DIEGO, CA 92121 |
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| Chief Financial Officer |
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Signatures
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/s/ R. Erik Holmlin, Attorney-in-Fact | | 9/3/2020 |
**Signature of Reporting Person | Date |
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