| 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) 10/13/2021 | 3. Issuer Name and Ticker or Trading Symbol MiNK Therapeutics, Inc. [ INKT ] | |||||||||||||
| 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) |
| 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) | 11/08/2028 | Common Stock | 83,490 | 0.02 | D | |
| Stock Option (Right to Buy) | (2) | 11/19/2028 | Common Stock | 20,872 | 0.02 | D | |
| Stock Option (Right to Buy) | (3) | 12/31/2022 | Common Stock | 20,872 | 0.02 | D | |
| Stock Option (Right to Buy) | (4) | 01/30/2030 | Common Stock | 55,660 | 0.01 | D | |
| Stock Option (Right to Buy) | (5) | 02/11/2031 | Common Stock | 55,660 | 3.03 | D | |
| Explanation of Responses: |
| 1. Represents an option to purchase shares of the common stock, which vests in four equal annual installments beginning on March 1, 2019. |
| 2. Represents an option to purchase shares of the common stock, which vests as to 30% of the underlying shares on November 19, 2021 and as to the remaining 70% of the underlying shares on November 19, 2022, in each case, generally subject to continued employment. |
| 3. Represents an option to purchase shares of the common stock, as determined by the achievement of certain milestones |
| 4. Represents an option to purchase shares of the common stock, which vests in four equal annual installments beginning on January 30, 2022. |
| 5. Represents an option to purchase shares of our common stock, which vests as to 33% of the underlying shares on February 11, 2022, and with respect to the remainder, in eight equal quarterly installments thereafter, in each case, generally subject to continued employment. |
| Remarks: |
| Exhibit List: Exhibit 24 - Power of Attorney |
| /s/ Christine Klaskin, attorney-in-fact | 10/20/2021 | |
| ** 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. | ||
