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 |
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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)
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2. Issuer Name and Ticker or Trading Symbol
TCR2 THERAPEUTICS INC. [ TCRR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/31/2021 | ||||||||||||||||||||||||||
4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 84,527 | I | See Footnote(1) | |||||||
Common Stock | 08/31/2021 | A(2) | V | 422 | A | $14.26(3) | 4,507 | D | ||
Common Stock | 12/09/2021 | M | 175,000 | A | $0.74 | 179,507 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Stock Option (Right to Buy) | $0.74 | 12/10/2021 | M | 169,054 | (4) | 12/12/2026 | Common Stock | 169,054 | $0.74 | 0 | D | ||||
Stock Option (Right to Buy) | $0.74 | 12/10/2021 | M | 5,946 | (5) | 12/06/2027 | Common Stock | 5,946 | $0.74 | 138,031 | D | ||||
Stock Option (Right to Buy) | $5.21 | 12/09/2021 | A | 305,800 | (6) | 12/08/2031 | Common Stock | 305,800 | $0.00 | 305,800 | D |
Explanation of Responses: |
1. Consists of 84,527 shares of common stock held by Dr. Garry Menzel, as Trustee of the Garry E. Menzel and Mary E. Henshall Family Trust, under instrument of trust dated July 29, 2010. Dr. Menzel is the trustee of the Garry E. Menzel and Mary E. Henshall Family Trust and may be deemed to beneficially own these securities. |
2. The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of March 1, 2021 through August 31, 2021. This transaction is exempt under Rule 16b-3(c). |
3. In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on August 31, 2021. |
4. The Reporting Person was granted an option to purchase 253,581 shares on December 13, 2016. 84,527 of such options were previously exercised. 25% of this option vested and became exercisable on October 17, 2017, with the remainder vesting in thirty-six (36) equal monthly installments thereafter. |
5. 25% of this option vested and became exercisable on December 6, 2018, with the remainder vesting in thirty-six (36) equal monthly installments thereafter. |
6. 25% of this option shall vest and become exercisable on January 1, 2023, with the remainder vesting in thirty-six (36) equal monthly installments thereafter |
Remarks: |
/s/ Margaret Siegel as Attorney-in-Fact | 12/10/2021 | |
** 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 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. |