0000899243-18-026559.txt : 20181011 0000899243-18-026559.hdr.sgml : 20181011 20181011163025 ACCESSION NUMBER: 0000899243-18-026559 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181010 FILED AS OF DATE: 20181011 DATE AS OF CHANGE: 20181011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lewis Michael CENTRAL INDEX KEY: 0001626134 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36751 FILM NUMBER: 181118590 MAIL ADDRESS: STREET 1: C/O HISTOGENICS CORPORATION STREET 2: 830 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HISTOGENICS CORP CENTRAL INDEX KEY: 0001372299 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 830 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-457-7900 MAIL ADDRESS: STREET 1: 830 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-10-10 0 0001372299 HISTOGENICS CORP HSGX 0001626134 Lewis Michael C/O HISTOGENICS CORPORATION 830 WINTER STREET, 3RD FLOOR WALTHAM MA 02451 1 0 1 0 Common Stock 2018-10-10 4 P 0 538460 A 3610570 I See Footnote Common Stock Warrant (Right to Buy) 0.70 2018-10-10 4 P 0 403845 A 2018-10-10 2023-10-10 Common Stock 403845 403845 I See Footnote The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance. The reportable securities are owned by Wilmslow Estates Limited. The Reporting Person has no beneficial interest in the trust which ultimately owns the economic interest in Wilmslow Estates Limited, but other members of the Reporting Person's family are discretionary beneficiaries in such trust. To the extent the Reporting Person may be deemed to hold an indirect beneficial interest under applicable United States securities laws, the Reporting Person disclaims such beneficial interest. The Reporting Person disclaims beneficial ownership of these shares and this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. /s/ Michael Lewis 2018-10-10