| 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) 07/29/2021 | 3. Issuer Name and Ticker or Trading Symbol Tenaya Therapeutics, Inc. [ TNYA ] | |||||||||||||
| 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) | 09/06/2028 | Common Stock | 425,000 | 0.66 | D | |
| Stock Option (Right to buy) | (2) | 03/10/2030 | Common Stock | 41,666 | 2.7 | D | |
| Stock Option (Right to buy) | (3) | 02/27/2031 | Common Stock | 416,666 | 5.64 | D | |
| Stock Option (Right to buy) | (4) | 06/17/2031 | Common Stock | 166,666 | 9.36 | D | |
| Explanation of Responses: |
| 1. 1/5th of the shares subject to the option granted on September 6, 2018 became vested and exercisable as of June 27, 2019 and 1/60th of the shares subject to the option shall vest monthly thereafter, provided that the Reporting Person remains a service provider to the issuer on each such vest date. |
| 2. 1/48th of the shares subject to the option granted on March 10, 2020 became vested and exercisable as of April 10, 2020 and 1/48th of the shares subject to the option shall vest monthly thereafter, provided that the Reporting Person remains a service provider to the issuer on each such vest date. |
| 3. 1/48th of the shares subject to the option granted on February 27, 2021 became vested and exercisable as of March 27, 2021 and 1/48th of the shares subject to the option shall vest monthly thereafter, provided that the Reporting Person remains a service provider to the issuer on each such vest date. |
| 4. 1/48th of the shares subject to the option granted on June 17, 2021 became vested and exercisable as of July 17, 2021 and 1/48th of the shares subject to the option shall vest monthly thereafter, provided that the Reporting Person remains a service provider to the issuer on each such vest date. |
| Remarks: |
| Date set forth above represents the effective date of the Issuer's initial public offering. |
| /s/Leone Patterson Attorney-in-Fact for Faraz Ali | 07/29/2021 | |
| ** 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. | ||
