Amended Statement of Changes in Beneficial Ownership (4/a)
September 14 2021 - 7:31PM
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
*
Renaud Ronald C JR |
2. Issuer Name and Ticker or Trading Symbol
Translate Bio, Inc.
[
TBIO
]
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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) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O TRANSLATE BIO, INC., 29 HARTWELL AVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/7/2021 |
(Street)
LEXINGTON, MA 02421
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
4/9/2021 |
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 | 4/7/2021 | | M | | 9026 | A | $7.39 | 503231 (1) | D | |
Common Stock | | | | | | | | 409913 | I | By Ronald Renaud 2014 Irrevocable Family Trust |
Common Stock | | | | | | | | 40909 | I | By Ronald C. Renaud, Jr. Trust - 2007 |
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) | $7.39 | 4/7/2021 | | M | | | 9026 | (2) | 12/21/2027 | Common Stock | 9026 | $0.00 | 1071009 | D | |
Explanation of Responses: |
(1) | The original Form 4 filed on April 9, 2021 inadvertently reported the incorrect number of securities beneficially owned following the reported transaction by an additional 90 shares. The original Form 4 filed on April 9, 2021 stated that 503,321 shares were owned after the transaction. The correct number of shares is 503,231. This amendment is being filed solely to correct the number of securities beneficially owned. |
(2) | This option was granted on December 22, 2017. The shares underlying the option vested over four years in equal monthly installments through March 9, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Renaud Ronald C JR C/O TRANSLATE BIO, INC. 29 HARTWELL AVE LEXINGTON, MA 02421 | X |
| Chief Executive Officer |
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Signatures
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/s/ Paul Burgess, as attorney-in-fact for Ronald C. Renaud, Jr. | | 9/14/2021 |
**Signature of Reporting Person | Date |
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