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) 03/02/2022 | 3. Issuer Name and Ticker or Trading Symbol Homology Medicines, Inc. [ FIXX ] | |||||||||||||
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 | 6,780 | D |
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 | ||||
Employee Stock Option (Right to Buy) | (1) | 12/07/2027 | Common Stock | 30,700 | 6.6314 | D | |
Employee Stock Option (Right to Buy) | (2) | 03/14/2029 | Common Stock | 18,700 | 26.26 | D | |
Employee Stock Option (Right to Buy) | (3) | 12/11/2029 | Common Stock | 60,000 | 19.92 | D | |
Employee Stock Option (Right to Buy) | (4) | 02/05/2031 | Common Stock | 49,000 | 13.78 | D | |
Employee Stock Option (Right to Buy) | (5) | 02/24/2032 | Common Stock | 92,000 | 2.71 | D | |
Restricted Stock Unit | (6) | (6) | Common Stock | 5,360 | 0.00 | D | |
Restricted Stock Unit | (7) | (7) | Common Stock | 15,000 | 0.00 | D |
Explanation of Responses: |
1. The option is fully vested. |
2. The option vests in 48 substantially equal monthly installments on the first day of each calendar month following January 1, 2019. |
3. The option vests in 48 substantially equal monthly installments on the first day of each calendar month following January 1, 2020. |
4. The option vests in 48 substantially equal monthly installments on the first day of each calendar month following January 1, 2021. |
5. The option vests in 48 substantially equal monthly installments on the first day of each calendar month following January 1, 2022. |
6. The restricted stock units will vest and settle as to approximately one half of the restricted stock units on each January 1, 2023 and January 1, 2024. Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. The restricted stock units have no expiration date. |
7. The restricted stock units will vest and settle as to approximately one third of the restricted stock units on each of the first three anniversaries of January 1, 2022 so that such RSUs will become fully vested on January 1, 2025. Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. The restricted stock units have no expiration date. |
Remarks: |
Exhibit 24 - Power of Attorney. |
/s/ W. Bradford Smith, Attorney-in-Fact for Michael L. Blum | 03/11/2022 | |
** 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. |