Statement of Changes in Beneficial Ownership (4)
May 12 2021 - 4:06PM
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
*
Stanton Matthew |
2. Issuer Name and Ticker or Trading Symbol
Generation Bio Co.
[
GBIO
]
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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 SCIENTIFIC OFFICER |
(Last)
(First)
(Middle)
C/O GENERATION BIO CO., 301 BINNEY ST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/10/2021 |
(Street)
CAMBRIDGE, MA 02142
(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 | 5/10/2021 | | M(1) | | 8600 | A | $0.60 | 206754 | D | |
Common Stock | 5/10/2021 | | S(1) | | 6200 | D | $30.37 (2) | 200554 | D | |
Common Stock | 5/10/2021 | | S(1) | | 2100 | D | $31.03 (3) | 198454 | D | |
Common Stock | 5/10/2021 | | S(1) | | 300 | D | $32.19 | 198154 | D | |
Common Stock | 5/11/2021 | | M(1) | | 172 | A | $0.60 | 198326 | D | |
Common Stock | 5/11/2021 | | M(1) | | 228 | A | $4.59 | 198554 | D | |
Common Stock | 5/11/2021 | | S(1) | | 400 | D | $31.05 (4) | 198154 | 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) | $0.60 | 5/10/2021 | | M (1) | | | 8600 | (5) | 1/4/2028 | Common Stock | 8600 | $0 | 16594 | D | |
Stock Option (right to buy) | $0.60 | 5/11/2021 | | M (1) | | | 172 | (5) | 1/4/2028 | Common Stock | 172 | $0 | 16422 | D | |
Stock Option (right to buy) | $4.59 | 5/11/2021 | | M (1) | | | 228 | (6) | 4/1/2028 | Common Stock | 228 | $0 | 108077 | D | |
Explanation of Responses: |
(1) | These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 24, 2020. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.83 to $30.82, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (4) of this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.86 to $31.16, inclusive. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.16, inclusive. |
(5) | The option to purchase 87,584 shares of common stock was granted on January 5, 2018. The shares underlying the option vest over four years, with 25% of the shares vested on January 4, 2019 and the remaining shares vesting in equal quarterly installments thereafter. |
(6) | The option to purchase 108,305 shares of common stock was granted on April 2, 2018. The shares underlying the option vest over four years, with 25% of the shares vested on April 2, 2019 and the remaining shares vesting in equal quarterly installments thereafter. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stanton Matthew C/O GENERATION BIO CO., 301 BINNEY ST CAMBRIDGE, MA 02142 |
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| CHIEF SCIENTIFIC OFFICER |
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Signatures
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/s/ Jennifer Elliott, Attorney-in-Fact | | 5/12/2021 |
**Signature of Reporting Person | Date |
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