Initial Statement of Beneficial Ownership (3)
September 10 2021 - 12:31PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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SCHWARTZ BRIAN |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/7/2021
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3. Issuer Name and Ticker or Trading Symbol
INFINITY PHARMACEUTICALS, INC. [INFI]
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(Last)
(First)
(Middle)
C/O INFINITY PHARMACEUTICALS, INC., 1100 MASSACHUSETTS AVENUE, FLOOR 4 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
CAMBRIDGE, MA 02138
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | (1) | 5/15/2030 | Common Stock | 60000 | $0.99 | D | |
Stock Option (right to buy) | (2) | 12/22/2030 | Common Stock | 56250 | $2.14 | D | |
Explanation of Responses: |
(1) | This option was granted on May 15, 2020. The option agreement provides that the option becomes exercisable in four equal semi-annual installments beginning on October 28, 2020. Pursuant to a resolution approved by the Issuer's Board of Directors on September 1, 2021, all remaining unvested options became exercisable effective as of September 6, 2021. |
(2) | This option was granted on December 22, 2020. The option agreement provides that the option becomes exercisable in eight equal semi-annual installments beginning on June 22, 2021. Pursuant to a resolution approved by the Issuer's Board of Directors on September 1, 2021, 37,500 unvested options became exercisable effective as of September 6, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SCHWARTZ BRIAN C/O INFINITY PHARMACEUTICALS, INC. 1100 MASSACHUSETTS AVENUE, FLOOR 4 CAMBRIDGE, MA 02138 | X |
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Signatures
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/s/ Brian Schwartz | | 9/9/2021 |
**Signature of Reporting Person | Date |
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