Statement of Changes in Beneficial Ownership (4)

Date : 06/05/2019 @ 5:34PM
Source : Edgar (US Regulatory)
Stock : Yield10 Bioscience, Inc. (YTEN)
Quote : 0.968  0.0468 (5.08%) @ 11:00PM

Statement of Changes in Beneficial Ownership (4)

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
                                                                                  
OMB APPROVAL
OMB Number: 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
                      

1. Name and Address of Reporting Person *

SCHULER JACK W
2. Issuer Name and Ticker or Trading Symbol

YIELD10 BIOSCIENCE, INC. [ YTEN ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

100 N. FIELD DRIVE, SUITE 360
3. Date of Earliest Transaction (MM/DD/YYYY)

12/19/2017
(Street)

LAKE FOREST, IL 60045
(City)        (State)        (Zip)
4. 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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   12/19/2017     P    1906744   (1) A $2.26   3270481   (2) I   See footnote   (4)
Common Stock   3/14/2019     P    552427   (1) A $1.2101   3822908   (3) I   See footnote   (4)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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
Common Stock Warrants   $2.25   12/19/2017     P      1906744   (5)      12/21/2017   12/21/2022   Common Stock   1906744   $0.05   2366838   (6) I   See footnote   (7)

Explanation of Responses:
(1)  The reported securities were acquired by the Jack W. Schuler Living Trust.
(2)  The reported securities consist of the 2,285,721 shares of common stock owned by the Jack W. Schuler Living Trust, the 846 shares of common stock owned by the Renate Schuler Living Trust, and the 983,914 shares of common stock owned by the Schuler Family Foundation, in each case immediately following the 12/19/2017 acquisition of 1,906,744 shares of common stock by the Jack W. Schuler Living Trust.
(3)  The reported securities consist of the 2,838,148 shares of common stock owned by the Jack W. Schuler Living Trust, the 846 shares of common stock owned by the Renate Schuler Living Trust, and the 983,914 shares of common stock owned by the Schuler Family Foundation, in each case immediately following the 3/14/2019 acquisition of 552,427 shares of common stock by the Jack W. Schuler Living Trust .
(4)  Jack W. Schuler has an indirect pecuniary interest the reported securities through (i) the Jack W. Schuler Living Trust, as its trustee and beneficiary, (ii) the Renate Schuler Living Trust, as the spouse of its trustee and beneficiary, and (iii) the Schuler Family Foundation, as its president.
(5)  The reported warrants to acquire common stock were acquired by the Jack W. Schuler Living Trust.
(6)  The reported warrants consist of the 2,217,002 warrants to acquire common stock owned by the Jack W. Schuler Living Trust and the 149,836 warrants to acquire common stock owned by the Schuler Family Foundation.
(7)  Jack W. Schuler has an indirect pecuniary interest in the reported warrants to acquire common stock through (i) the Jack W. Schuler Living Trust, as its trustee and beneficiary and (ii) the Schuler Family Foundation, as its president.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
SCHULER JACK W
100 N. FIELD DRIVE
SUITE 360
LAKE FOREST, IL 60045

X


Signatures
/S/ Jack W. Schuler 6/5/2019
** 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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