SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
| |||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol TCR2 THERAPEUTICS INC. [ TCRR ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| ||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) 02/19/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 02/19/2019 | C | 1,614,515 | A | (1) | 1,614,515 | I | By Fund(2) | ||
Common Stock | 02/19/2019 | C | 193,742 | A | (3) | 193,742 | I | By Fund(4) | ||
Common Stock | 02/19/2019 | C | 410,168 | A | (3) | 410,168 | I | By Fund(5) | ||
Common Stock | 02/19/2019 | C | 282,540 | A | (3) | 282,540 | I | By Fund(6) | ||
Common Stock | 02/19/2019 | C | 403,629 | A | (3) | 403,629 | I | By Fund(7) | ||
Common Stock | 02/19/2019 | P | 200,000 | A | $15 | 200,000 | I | By Fund(8) | ||
Common Stock | 02/19/2019 | P | 166,667 | A | $15 | 166,667 | I | By Fund(9) | ||
Common Stock | 02/19/2019 | P | 166,667 | A | $15 | 449,207 | I | By Fund(6) | ||
Common Stock | 02/19/2019 | P | 133,333 | A | $15 | 536,962 | I | By Fund(7) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Series A Preferred Stock | (1) | 02/19/2019 | C | 10,000,001 | (1) | (1) | Common Stock | 1,614,515 | (1) | 0 | I | By Fund(2) | |||
Series B Preferred Stock | (3) | 02/19/2019 | C | 1,200,000 | (3) | (3) | Common Stock | 193,742 | (3) | 0 | I | By Fund(4) | |||
Series B Preferred Stock | (3) | 02/19/2019 | C | 2,540,500 | (3) | (3) | Common Stock | 410,168 | (3) | 0 | I | By Fund(5) | |||
Series B Preferred Stock | (3) | 02/19/2019 | C | 1,750,000 | (3) | (3) | Common Stock | 282,540 | (3) | 0 | I | By Fund(6) | |||
Series B Preferred Stock | (3) | 02/19/2019 | C | 2,500,000 | (3) | (3) | Common Stock | 403,629 | (3) | 0 | I | By Fund(7) |
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
Explanation of Responses: |
1. Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 ("Common Stock"), on a 6.1938:1 basis upon the closing of the Issuer's initial public offering. |
2. The reported securities are owned directly by F2 Capital I 2015 Limited. Globeways Holdings Limited is the appointed manager of F2 Capital I 2015 Limited and has sole power to vote upon the acquisition, holding and disposal of all shares held by F2 Capital I 2015 Limited. Morana Jovan-Embiricos is the founding director of Globeways Holdings Limited and has the sole power to vote upon the acquisition, holding and disposal of all shares and warrants held by Globeways Holdings Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
3. Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a 6.1938:1 basis upon the closing of the Issuer's initial public offering.. |
4. The reported securities are owned directly by F2 Bioscience II 2017 Limited. Globeways Holdings Limited is the appointed manager of F2 Bioscience II 2017 Limited and has sole power to vote upon the acquisition, holding and disposal of all shares held by F2 Bioscience II 2017 Limited. Morana Jovan-Embiricos is the founding director of Globeways Holdings Limited and has the sole power to vote upon the acquisition, holding and disposal of all shares and warrants held by Globeways Holdings Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
5. The reported securities are owned directly by F2 Capital I 2017 Limited. Globeways Holdings Limited is the appointed manager of F2 Capital I 2017 Limited and has sole power to vote upon the acquisition, holding and disposal of all shares held by F2 Capital I 2017 Limited. Morana Jovan-Embiricos is the founding director of Globeways Holdings Limited and has the sole power to vote upon the acquisition, holding and disposal of all shares and warrants held by Globeways Holdings Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
6. The reported securities are owned directly by F2 MG Limited. Globeways Holdings Limited is the appointed manager of F2 MG Limited and has sole power to vote upon the acquisition, holding and disposal of all shares held by F2 MG Limited. Morana Jovan-Embiricos is the founding director of Globeways Holdings Limited and has the sole power to vote upon the acquisition, holding and disposal of all shares and warrants held by Globeways Holdings Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
7. The reported securities are owned directly F2-TPO Investments, LLC. Globeways Holdings Limited is the appointed manager of F2-TPO Investments, LLC and has sole power to vote upon the acquisition, holding and disposal of all shares held by F2-TPO Investments, LLC. Morana Jovan-Embiricos is the founding director of Globeways Holdings Limited and has the sole power to vote upon the acquisition, holding and disposal of all shares and warrants held by Globeways Holdings Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
8. The reported securities are owned directly by F2 BBG LLC. Globeways Holdings II Limited is the appointed manager of F2 BBG LLC and has sole power to vote upon the acquisition, holding and disposal of all shares held by F2 BBG LLC. Morana Jovan-Embiricos is the founding director of Globeways Holdings II Limited and has the sole power to vote upon the acquisition, holding and disposal of all shares and warrants held by Globeways Holdings II Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
9. The reported securities are owned directly by F2 Capital I 2019, LLC. Globeways Holdings II Limited is the appointed manager of F2 Capital I 2019, LLC and has sole power to vote upon the acquisition, holding and disposal of all shares held by F2 Capital I 2019, LLC. Morana Jovan-Embiricos is the founding director of Globeways Holdings II Limited and has the sole power to vote upon the acquisition, holding and disposal of all shares and warrants held by Globeways Holdings II Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
Remarks: |
/s/ Morana Jovan-Embiricos | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for Globeways Holdings Limited | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for Globeways Holdings II Limited | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for F2 Capital I 2015 Limited | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for F2 Bioscience II 2017 Limited | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for F2 Capital I 2017 Limited | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for F2 MG Limited | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for F2-TPO Investments, LLC | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for F2 BBG LLC | 02/21/2019 | |
/s/ Rachel Hingham and Ivan Bedford for F2 Capital I 2019, LLC | 02/21/2019 | |
** 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 Number. |