Statement of Changes in Beneficial Ownership (4)
January 20 2022 - 6:46PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Ryan Jason |
2. Issuer Name and Ticker or Trading Symbol
Sema4 Holdings Corp.
[
SMFR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O SEMA4 HOLDINGS CORP., 333 LUDLOW ST, NORTH TOWER, 8TH FL. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/18/2022 |
(Street)
STAMFORD, CT 06902
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | $3.45 | 1/18/2022 | | A | | 429730 | | (1) | 1/17/2032 | Class A Common Stock | 429730 | $0.00 | 429730 | D | |
Restricted Stock Unit | (2) | 1/18/2022 | | A | | 247525 | | (1) | (1) | Class A Common Stock | 247525 | $0.00 | 247525 | D | |
Explanation of Responses: |
(1) | 100% of the underlying awards shall become vested and exercisable on the earlier of (A) December 31, 2022, and (B) a change in control of the Issuer, subject to the Reporting Person's continued service to the Issuer on such earlier date, or upon a termination of the Reporting Person's service as Executive Chairman of the Board under certain circumstances. |
(2) | Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A common stock upon settlement for no consideration. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ryan Jason C/O SEMA4 HOLDINGS CORP. 333 LUDLOW ST, NORTH TOWER, 8TH FL. STAMFORD, CT 06902 | X |
|
|
|
Signatures
|
/s/ Daniel Clark, Attorney-in-Fact | | 1/20/2022 |
**Signature of Reporting Person | Date |
CM Life Sciences (NASDAQ:CMLFU)
Historical Stock Chart
From Aug 2024 to Sep 2024
CM Life Sciences (NASDAQ:CMLFU)
Historical Stock Chart
From Sep 2023 to Sep 2024