Statement of Changes in Beneficial Ownership (4)
December 10 2021 - 4:35PM
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
*
Cardama Alfonso Quintas |
2. Issuer Name and Ticker or Trading Symbol
TCR2 THERAPEUTICS INC.
[
TCRR
]
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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 Medical Officer |
(Last)
(First)
(Middle)
C/O TCR2 THERAPEUTICS, 100 BINNEY STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/31/2021 |
(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 | 8/31/2021 | | A(1) |
V
| 164 | A | $14.26 (2) | 3915 | D | |
Common Stock | 12/9/2021 | | M | | 43000 | A | $0.74 | 46915 | 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) | $0.74 | 12/9/2021 | | M | | 43000 | | (3) | 10/9/2027 | Common Stock | 43000 | $0.74 | 31582 | D | |
Stock Option (Right to Buy) | $5.21 | 12/9/2021 | | A | | 114700 | | (4) | 12/8/2031 | Common Stock | 114700 | $0.00 | 114700 | D | |
Explanation of Responses: |
(1) | The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of March 1, 2021 through August 31, 2021. This transaction is exempt under Rule 16b-3(c). |
(2) | In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on August 31, 2021. |
(3) | 25% of this option vested and became exercisable on October 10, 2018, with the remainder vesting in thirty-six (36) equal monthly installments thereafter. |
(4) | 25% of this option shall vest and become exercisable on January 1, 2023, with the remainder vesting in thirty-six (36) equal monthly installments thereafter |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cardama Alfonso Quintas C/O TCR2 THERAPEUTICS 100 BINNEY STREET CAMBRIDGE, MA 02142 |
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| Chief Medical Officer |
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Signatures
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/s/ Margaret Siegel as Attorney-in-Fact | | 12/10/2021 |
**Signature of Reporting Person | Date |
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