Initial Statement of Beneficial Ownership (3)
January 10 2023 - 04:41PM
Edgar (US Regulatory)
FORM 3
|
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
Estimated average burden
hours per response... 0.5 |
|
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 *
Ferrand Paul-Henri |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
1/1/2023
|
3. Issuer Name and Ticker or Trading
Symbol Babylon Holdings Ltd [BBLN] |
(Last)
(First)
(Middle)
2500 BEE CAVE ROAD, BLDG. 1, SUITE 400 |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
___X___ Officer (give title
below) _____
Other (specify below)
Chief Operating Officer / |
(Street)
AUSTIN, TX 78746
(City)
(State)
(Zip)
|
5. 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 Beneficially
Owned
|
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) |
Class A ordinary shares |
161508 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
Share Option (right to buy) |
(1) |
3/2/2031 (1) |
Class A ordinary shares |
30994.0 |
$35.58 |
D |
|
Performance share units |
(2) |
(2) |
Class A ordinary shares |
160000.0 |
(3) |
D |
|
Explanation of
Responses: |
(1) |
The share option was awarded
under the Babylon Holdings Limited Long Term Incentive Plan and is
fully vested as to 16,788 shares; the remainder vests in equal
monthly installments beginning January 19, 2023. |
(2) |
The performance share units
("PSUs") were awarded under the Babylon Holdings Limited 2021
Equity Incentive Plan and vest in three tranches consisting of 50%,
25% and 25% of the PSUs. Each such tranche of PSUs vests upon the
earlier of the date on which the issuer's (i) Class A ordinary
shares achieve a specified price per share or (ii) market
capitalization in respect of its Class A ordinary shares meets a
specified dollar threshold. Vested PSUs will be settled in shares
or cash as soon as administratively practicable after vesting, but
in no event more than 60 days after the PSUs' vesting
date. |
(3) |
Each PSU represents a
contingent right to receive one Class A ordinary share. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Ferrand Paul-Henri
2500 BEE CAVE ROAD
BLDG. 1, SUITE 400
AUSTIN, TX 78746 |
|
|
Chief Operating Officer |
|
Signatures
|
/s/ Paul-Henri Ferrand |
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1/10/2023 |
**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 5(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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