Statement of Changes in Beneficial Ownership (4)
March 23 2022 - 6:01PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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Lis William |
2. Issuer Name and Ticker or Trading Symbol
Jasper Therapeutics, Inc.
[
JSPR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O JASPER THERAPEUTICS, INC., 2200 BRIDGE PKWY, SUITE #102 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/21/2022 |
(Street)
REDWOOD CITY, CA 94065
(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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Voting Common Stock | 3/21/2022 | | A | | 89972 (1) | A | $0.00 | 89972 | 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) | $3.54 | 3/21/2022 | | A | | 7500 | | (2) | 3/21/2032 | Voting Common Stock | 7500 | $0.00 | 7500 | D | |
Stock Option (right to buy) | $3.54 | 3/21/2022 | | A | | 89972 | | (3) | 3/21/2032 | Voting Common Stock | 89972 | $0.00 | 89972 | D | |
Stock Option (right to buy) | $3.54 | 3/21/2022 | | A | | 100000 | | (4) | 3/21/2032 | Voting Common Stock | 100000 | $0.00 | 100000 | D | |
Explanation of Responses: |
(1) | The reported securities are represented by restricted stock units, 1/2 of which shall vest on each of June 24, 2022 and June 27, 2022, subject to the Reporting Person's continuous service to the Issuer on and through each applicable vesting date, inclusive. |
(2) | 1/4th of the shares subject to the option shall vest on December 7, 2022, and 1/48th of the shares subject to the option shall vest following each one-month period thereafter, subject to the Reporting Person's continuous service to the Issuer on and through each applicable vesting date, inclusive. |
(3) | 1/4th of the shares subject to the option vested on March 21, 2022, and 1/4th of the shares subject to the option shall vest on each of March 24, 2022, September 24, 2022 and March 24, 2023, subject to the Reporting Person's continuous service to the Issuer on and through each applicable vesting date, inclusive. |
(4) | 1/12th of the shares subject to the option shall vest on April 15, 2022, and 1/12th of the shares subject to the option shall vest following each one-month period thereafter, subject to the Reporting Person's continuous service to the Issuer on and through each applicable vesting date, inclusive |
Remarks: Executive Chairman of the Board |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lis William C/O JASPER THERAPEUTICS, INC. 2200 BRIDGE PKWY, SUITE #102 REDWOOD CITY, CA 94065 | X |
| See Remarks |
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Signatures
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/s/ Jeet Mahal, as Attorney-in-Fact | | 3/23/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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