SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/05/2020 | 3. Issuer Name and Ticker or Trading Symbol Schrodinger, Inc. [ SDGR ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 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) |
| Common Stock | 173,082 | I | By Cony and Pearl D'Cruz Revocable Trust dated August 20, 2019, and any amendments thereto |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
| Stock Option (right to buy) | (1) | 05/10/2026 | Common Stock | 33,443 | 3.07 | D | |
| Stock Option (right to buy) | (2) | 06/01/2027 | Common Stock | 5,865 | 2.92 | D | |
| Stock Option (right to buy) | (3) | 11/29/2028 | Common Stock | 26,754 | 4.34 | D | |
| Explanation of Responses: |
| 1. The reporting person received an option to purchase a total of 133,773 shares on May 11, 2016. The shares underlying the option are scheduled to vest in equal yearly installments from March 1, 2016 through March 1, 2020. |
| 2. The reporting person received an option to purchase a total of 11,731 shares on June 1, 2017. The shares underlying the option are scheduled to vest in equal yearly installments from January 1, 2017 through January 1, 2021. |
| 3. This option was granted on November 29, 2018. The shares underlying the option vested with respect to 25% of the shares on December 31, 2019 and the remainder are scheduled to vest in equal monthly installments through December 31, 2022. |
| Remarks: |
| Executive Vice President and Chief Business Officer Exhibit Index: 24.1 Power of Attorney |
| /s/ Yvonne Tran, as attorney-in-fact for Cony D'Cruz | 02/05/2020 | |
| ** 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 Number. | ||