Initial Statement of Beneficial Ownership (3)
October 04 2021 - 9:11AM
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
*
ROCHE HOLDING LTD |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/24/2021
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3. Issuer Name and Ticker or Trading Symbol
Jasper Therapeutics, Inc. [JSPR]
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(Last)
(First)
(Middle)
GRENZACHERSTRASSE 124, 4070 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
BASEL, V8 CH-4070
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ 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) |
Voting Common Stock | 4624606 | D (1) | |
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 |
Explanation of Responses: |
(1) | Roche Finance Ltd ("Roche Finance") is the direct beneficial owner of these securities of the Issuer. Roche Finance is a wholly-owned subsidiary of Roche Holding Ltd, a Swiss corporation whose shares are traded on the SIX Swiss Exchange. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ROCHE HOLDING LTD GRENZACHERSTRASSE 124, 4070 BASEL, V8 CH-4070 |
| X |
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ROCHE FINANCE LTD GRENZACHERSTRASSE 122, 4070 BASEL, V8 |
| X |
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Signatures
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ROCHE FINANCE LTD By: /s/ Beat Kraehenmann Name: Beat Kraehenmann Title: Authorized Signatory | | 10/4/2021 |
**Signature of Reporting Person | Date |
By: /s/ Carole Nuechterlein Name: Carole Neuchterlein Title: Authorized Signatory | | 10/4/2021 |
**Signature of Reporting Person | Date |
ROCHE HOLDING LTD By: /s/ Beat Kraehenmann Name: Beat Kraehenmann Title: Authorized Signatory | | 10/4/2021 |
**Signature of Reporting Person | Date |
By: /s/ Claudia Boeckstiegel Name: Claudia Boeckstiegel Title: Authorized Signatory | | 10/4/2021 |
**Signature of Reporting Person | Date |
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