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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/13/2022 |
3. Issuer Name and Ticker or Trading Symbol
Celularity Inc [ CELU ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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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) |
Class A Common Stock | 33,135(1) | 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 | ||||
Stock Option (Right to Buy) | (2) | 02/20/2028 | Class A Common Stock | 22,708 | $2.87 | D | |
Stock Option (Right to Buy) | (2) | 12/03/2028 | Class A Common Stock | 11,354 | $3.88 | D | |
Stock Option (Right to Buy) | (3) | 02/06/2030 | Class A Common Stock | 34,936 | $3.7 | D | |
Stock Option (Right to Buy) | (4) | 03/31/2032 | Class A Common Stock | 26,318 | $8.71 | D |
Explanation of Responses: |
1. Represents restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan). Each RSU represents the right to receive one share of the Issuer's Class A common stock. The RSUs underlying this award vest and become exercisable over a four-year period, with 25% vesting on the one-year anniversary of the grant date, with the remainder vesting in equal monthly installments thereafter so that vested in full on the four-year anniversary of the grant date, and subject to the Reporting Person's continuous service on each vesting date. |
2. These options were granted under the Issuer's Amended and Restated 2017 Equity Incentive Plan (the "2017 Plan") assumed in the business combination and 100% of the shares subject to the stock option are fully vested and exercisable as of the date hereof. |
3. This option was granted under the 2017 Plan and vests and becomes exercisable over a four-year period, with 25% of the option vesting on the one-year anniversary of the grant date, and the remainder vesting in equal monthly installments thereafter so that vested in full on the four-year anniversary of the grant date, and subject to the Reporting Person's continuous service on each vesting date. |
4. This option was granted under the 2021 Plan and vests and becomes exercisable over a four-year period, with 25% of the option vesting on the one-year anniversary of the grant date, and the remainder vesting in equal monthly installments thereafter so that vested in full on the four-year anniversary of the grant date, and subject to the Reporting Person's continuous service on each vesting date. |
Remarks: |
Exhibit 24 - Power of Attorney |
/s/ Keary Dunn, Attorney-in-Fact | 07/15/2022 | |
** 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. |