Statement of Changes in Beneficial Ownership (4)
March 02 2021 - 9:11AM
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
*
SUMER JACQUELYN L |
2. Issuer Name and Ticker or Trading Symbol
GENOCEA BIOSCIENCES, INC.
[
GNCA
]
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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 LEGAL & COMPLIANCE OFF |
(Last)
(First)
(Middle)
C/O GENOCEA BIOSCIENCES, INC., 100 ACORN PARK DRIVE 5TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(Street)
CAMBRIDGE, MA 02140
(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) | $3.07 | 3/1/2021 | | A | | 115000 | | (1) | 3/1/2031 | Common Stock | 115000.0 | $3.07 | 115000 | D | |
Explanation of Responses: |
(1) | The Stock Option shall become exercisable as to 1/4th of the shares subject to the option on the first anniversary of the Grant Date and thereafter as to 1/36th of the shares on each subsequent monthly anniversary of the Grant Date (rounded down to the nearest whole share, except for the final vesting period, with respect to which all remaining shares will vest). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SUMER JACQUELYN L C/O GENOCEA BIOSCIENCES, INC. 100 ACORN PARK DRIVE 5TH FLOOR CAMBRIDGE, MA 02140 |
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| CHIEF LEGAL & COMPLIANCE OFF |
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Signatures
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/s/ DIANTHA DUVALL, ATTORNEY-IN-FACT FOR JACQUELYN SUMER | | 3/2/2021 |
**Signature of Reporting Person | Date |
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