Statement of Changes in Beneficial Ownership (4)
May 02 2023 - 4:25PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
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
|
|
1. Name and Address of Reporting Person
*
Cotliar Jonathan |
2. Issuer Name and Ticker or Trading Symbol
Science 37 Holdings, Inc.
[
SNCE
]
|
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)
800 PARK OFFICES DRIVE, SUITE 3606 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/28/2023 |
(Street)
RESEARCH TRIANGLE PARK, NC 27709 |
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
|
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
|
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 | 4/28/2023 | | A | | 257320 | A | (1)(2) | 944088 (3) | D | |
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 |
Stock Option | $10.05 | 4/28/2023 | | D | | | 442754 | (1) | 10/7/2031 | Common Stock | 442754.0 | (1) | 0 | D | |
Stock Option | $11.47 | 4/28/2023 | | D | | | 200549 | (2) | 1/7/2032 | Common Stock | 200549.0 | (2) | 0 | D | |
Explanation of Responses: |
(1) | On April 28, 2023, the issuer cancelled, pursuant to the issuer's option exchange program, options to purchase 442,754 shares of common stock of the issuer and in exchange issued to the reporting person 177,101 restricted stock units, each of which represents a contingent right to receive one share of the issuer's common stock. |
(2) | On April 28, 2023, the issuer cancelled, pursuant to the issuer's option exchange program, options to purchase 200,549 shares of common stock of the issuer and in exchange issued to the reporting person 80,219 restricted stock units, each of which represents a contingent right to receive one share of the issuer's common stock. |
(3) | Includes 257,320 restricted stock units, which will vest in three equal annual installments beginning on April 28, 2024, subject to continued employment. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cotliar Jonathan 800 PARK OFFICES DRIVE, SUITE 3606 RESEARCH TRIANGLE PARK, NC 27709 |
|
| Chief Medical Officer |
|
Signatures
|
/s/ Christine Pellizzari, Attorney-in-fact for Jonathan Cotliar | | 5/2/2023 |
**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 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. |
LifeSci Acquisition II (NASDAQ:LSAQ)
Historical Stock Chart
From Jun 2024 to Jul 2024
LifeSci Acquisition II (NASDAQ:LSAQ)
Historical Stock Chart
From Jul 2023 to Jul 2024