0001104659-23-041080.txt : 20230403 0001104659-23-041080.hdr.sgml : 20230403 20230403194911 ACCESSION NUMBER: 0001104659-23-041080 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230401 FILED AS OF DATE: 20230403 DATE AS OF CHANGE: 20230403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baum Jason CENTRAL INDEX KEY: 0001970907 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37990 FILM NUMBER: 23794647 MAIL ADDRESS: STREET 1: LEAP THERAPEUTICS, INC. STREET 2: 47 THORNDIKE STREET, SUITE B1 CITY: CAMBRIDGE STATE: MA ZIP: 02141 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LEAP THERAPEUTICS, INC. CENTRAL INDEX KEY: 0001509745 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 274412575 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 47 THORNDIKE STREET STREET 2: SUITE B1-1 CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 617 252 4343 MAIL ADDRESS: STREET 1: 47 THORNDIKE STREET STREET 2: SUITE B1-1 CITY: CAMBRIDGE STATE: MA ZIP: 02142 FORMER COMPANY: FORMER CONFORMED NAME: Dekkun Corp DATE OF NAME CHANGE: 20110107 3 1 tm2311406-1_3seq1.xml OWNERSHIP DOCUMENT X0206 3 2023-04-01 0 0001509745 LEAP THERAPEUTICS, INC. LPTX 0001970907 Baum Jason C/O LEAP THERAPEUTICS, INC. 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 1 0 0 Chief Scientific Officer Employee Stock Option (Right to Buy) 1.97 2030-08-10 Common Stock 75000 D Employee Stock Option (Right to Buy) 2.57 2031-01-26 Common Stock 50000 D Employee Stock Option (Right to Buy) 1.62 2031-05-26 Common Stock 30000 D Employee Stock Option (Right to Buy) 1.43 2032-09-01 Common Stock 200000 D Restricted Stock Units 0 Common Stock 225000 D Employee Stock Option (Right to Buy) 0.34 2033-03-31 Common Stock 500000 D The Option was granted on August 10, 2020 pursuant to Leap's 2016 Equity Incentive Plan. By its terms, the Option became vested and exercisable for 25% of the shares underlying the Option on August 10, 2021 and vests and becomes exercisable for the remaining shares in a series of 36 equal monthly installments thereafter for so long as the reporting person continues to be employed by or provides service to the Company. The Option was granted on January 26, 2021 pursuant to Leap's 2016 Equity Incentive Plan. By its terms, the Option vests and becomes exercisable for the shares underlying the Option in a series of 36 equal monthly installments for so long as the reporting person continues to be employed by or provides service to the Company, with the first of such monthly installments having become vested on February 26, 2021. The Option was granted on May 26, 2021 pursuant to Leap's 2016 Equity Incentive Plan. By its terms, the Option vests and becomes exercisable for the shares underlying the Option in a series of 36 equal monthly installments for so long as the reporting person continues to be employed by or provides service to the Company, with the first of such monthly installments having become vested on June 26, 2021. The Option was granted on September 1, 2022 pursuant to Leap's 2022 Equity Incentive Plan. By its terms, the Option vests and becomes exercisable for the shares underlying the Option in a series of 36 equal monthly installments for so long as the reporting person continues to be employed by or provides service to the Company, with the first of such monthly installments having become vested on October 1, 2022. The Restricted Stock Units were granted on January 31, 2022 pursuant to Leap's 2016 Equity Incentive Plan and will cliff vest and be settled after three years of continuous service or upon a change of control of Leap, whichever is earlier. No consideration was or will be paid or provided by the reporting person in connection with the grant or award of the Restricted Stock Units or the issuance of the shares of Common Stock underlying the Restricted Stock Units upon settlement thereof. The Option was granted on March 31, 2023 pursuant to Leap's 2016 Equity Incentive Plan. By its terms, the Option vests and becomes exercisable for the shares underlying the Option in a series of 36 equal monthly installments for so long as the reporting person continues to be employed by or provides service to the Company, with the first of such monthly installments vesting on April 30, 2023. Exhibit 24.1 Power of Attorney /s/ Douglas E. Onsi as attorney-in-fact for Jason Baum 2023-04-03 EX-24.1 2 tm2311406d1_ex24-1.htm EXHIBIT 24.1

Exhibit 24.1

 

LEAP THERAPEUTICS, INC.

 

POWER OF ATTORNEY

 

Know all by these present, that the undersigned hereby constitutes and appoints each of Christopher Mirabelli and Douglas E. Onsi with full power of substitution, the undersigned's true and lawful attorney-in-fact to, with respect to Leap Therapeutics, Inc., a Delaware corporation (the “Company”):

 

(1)prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC;

 

(2)execute, for and on behalf of the undersigned, in the undersigned's capacity as an officer, director and/or more than 10% stockholder, if applicable, of any HealthCare Pharmaceutical affiliate company, 3, 4, and 5 as well as 13(g) and 13(d) filings, in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder;

 

(3)do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, and 13(g) and 13(d), complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 

(4)take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney-in-fact. This Power of Attorney supersedes any prior power of attorney granted by the undersigned with respect to Forms 3, 4, and 5, and 13(g) and 13(d) with respect to the Company’s securities.

 

 

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 3rd day of April, 2023.

 

  /s/ Jason Baum
  Jason Baum