0001209191-23-024125.txt : 20230412 0001209191-23-024125.hdr.sgml : 20230412 20230412173602 ACCESSION NUMBER: 0001209191-23-024125 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230410 FILED AS OF DATE: 20230412 DATE AS OF CHANGE: 20230412 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ballantyne Charles Evan CENTRAL INDEX KEY: 0001371742 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40237 FILM NUMBER: 23816593 MAIL ADDRESS: STREET 1: 27 HEARTHSTONE ROAD CITY: HOPKINTON STATE: MA ZIP: 01748 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Gain Therapeutics, Inc. CENTRAL INDEX KEY: 0001819411 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 851726310 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4800 HAMPDEN LANE STREET 2: SUITE 200 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: (301) 500-1556 MAIL ADDRESS: STREET 1: 4800 HAMPDEN LANE STREET 2: SUITE 200 CITY: BETHESDA STATE: MD ZIP: 20814 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-04-10 0 0001819411 Gain Therapeutics, Inc. GANX 0001371742 Ballantyne Charles Evan C/O GAIN THERAPEUTICS, INC. 4800 MONTGOMERY LANE, SUITE 220 BETHESDA MD 20814 0 1 0 0 Chief Financial Officer 0 Employee Stock Option (right to buy) 4.79 2023-04-10 4 A 0 100000 0.00 A 2033-04-10 Common Stock 100000 100000 D Restricted Stock Units 2023-04-10 4 A 0 50000 0.00 A Common Stock 50000 50000 D The shares underlying the option shall vest 25% on April 10, 2024 and the remainder shall vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date. Each restricted stock unit ("RSU") represents a contingent right to receive one share of Issuer common stock. The RSUs vest upon the board of directors' certification of the Issuer's share price reaching $10.00 per share based on the 10-day volume weighted average share price, subject to Reporting Person's continuous service through such vesting date. /s/ Cathy Rude, Attorney-in-Fact 2023-04-12