0001636050-21-000098.txt : 20211209
0001636050-21-000098.hdr.sgml : 20211209
20211209183114
ACCESSION NUMBER: 0001636050-21-000098
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211208
FILED AS OF DATE: 20211209
DATE AS OF CHANGE: 20211209
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cheruvu Pavan
CENTRAL INDEX KEY: 0001731741
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37418
FILM NUMBER: 211483150
MAIL ADDRESS:
STREET 1: C/O AXOVANT SCIENCES, INC.
STREET 2: 11 TIMES SQUARE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sio Gene Therapies Inc.
CENTRAL INDEX KEY: 0001636050
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 853863315
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 130 WEST 42ND STREET
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 877-746-4891
MAIL ADDRESS:
STREET 1: 130 WEST 42ND STREET
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
FORMER COMPANY:
FORMER CONFORMED NAME: Axovant Gene Therapies Ltd.
DATE OF NAME CHANGE: 20190516
FORMER COMPANY:
FORMER CONFORMED NAME: Axovant Sciences Ltd.
DATE OF NAME CHANGE: 20150324
FORMER COMPANY:
FORMER CONFORMED NAME: Axovant Sciences, Inc.
DATE OF NAME CHANGE: 20150324
4
1
wf-form4_163909265726806.xml
FORM 4
X0306
4
2021-12-08
0
0001636050
Sio Gene Therapies Inc.
SIOX
0001731741
Cheruvu Pavan
C/O SIO GENE THERAPIES INC.
130 WEST 42ND STREET, 26TH FLOOR
NEW YORK
NY
10036
1
1
0
0
Chief Executive Officer
Common Stock
2021-12-08
4
A
0
37567
0
A
217993
D
Common Stock
2021-12-08
4
F
0
14884
1.42
D
203109
D
Restricted Stock Units
2021-12-08
4
D
0
37567
0
D
Common Stock
37567.0
75133
D
The shares were sold on behalf of the Reporting Person in the open market to cover withholding taxes relating to the settlement of the vested restricted stock units.
Each restricted stock unit represents the right to receive one share of the Issuer's common stock. The shares of common stock underlying the restricted stock units vested on April 15, 2021 but settlement of the restricted stock units was delayed until transactions acceptable under the Issuer's insider trading policy were permitted.
50% of the shares of common stock underlying the remaining restricted stock units vest on April 15, 2022 and the remainder vest on April 15, 2023, subject to the Reporting Person providing continuous service to the Issuer through each such date.
/s/ David Nassif, Attorney-In-Fact
2021-12-09