FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Replimune Group, Inc. [ REPL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/24/2018 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 07/24/2018 | C | 994,688 | A | (1) | 994,688 | I | See Footnote(2) | ||
Common Stock | 07/24/2018 | C | 2,579,881 | A | (1) | 3,574,569 | I | See Footnote(2) | ||
Common Stock | 07/24/2018 | C | 1,013,547 | A | (1) | 4,588,116 | I | See Footnote(2) | ||
Common Stock | 07/24/2018 | P | 133,333 | A | $15 | 4,721,449 | I | See Footnote(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (right to buy) | (3) | 07/24/2018 | C | 248,672(4) | (3) | (3) | Common Stock | 248,672(4) | $0 | 248,672(4) | I | See Footnote(2) | |||
Warrant (right to buy) | (3) | 07/24/2018 | C | 248,672(4) | (3) | (3) | Series Seed Convertible Preferred Stock | 248,672(4) | $0 | 0 | I | See Footnote(2) | |||
Series Seed Convertible Preferred Stock | (1) | 07/24/2018 | C | 994,688(4) | (1) | (1) | Common Stock | 994,688(4) | $0 | 0 | I | See Footnote(2) | |||
Series A Convertible Preferred Stock | (1) | 07/24/2018 | C | 2,579,881(4) | (1) | (1) | Common Stock | 2,579,881(4) | $0 | 0 | I | See Footnote(2) | |||
Series B Convertible Preferred Stock | (1) | 07/24/2018 | C | 1,013,547(4) | (1) | (1) | Common Stock | 1,013,547(4) | $0 | 0 | I | See Footnote(2) | |||
Stock Option (right to buy) | $15 | 07/24/2018 | A | 13,500 | (5) | 07/19/2028 | Common Stock | 13,500 | $0 | 13,500 | D |
Explanation of Responses: |
1. In connection with the completion of the Issuer's initial public offering, each share of the Issuer's series seed convertible preferred stock, series A convertible preferred stock and series B convertible preferred stock (collectively, the "Preferred Stock") converted into shares of the Issuer's common stock on a 1-for-9.94688 basis without payment or consideration. The Preferred Stock had no expiration date. |
2. The securities are held directly by Forbion Capital Fund III Cooperatief U.A ("Forbion Coop"). Forbion III Management B.V. ("Forbion Management") is the director of Forbion Coop. The Reporting Person serves as one of the directors of Forbion Management and disclaims beneficial ownership over all shares of the Issuer for which Forbion Management may be deemed to beneficially own, except to the extent of his pecuniary interest therein, if any. |
3. Reflects warrants to acquire shares of the Issuer's Series Seed Convertible Preferred Stock which automatically converted into warrants to acquire shares of the Issuer's common stock immediately prior to the completion of the Issuer's initial public offering on a 1-for-9.94688 basis without payment or consideration. The warrants have no expiration date. The exercise price is $1.01 per share of the issuer's common stock. |
4. Reflects the number of shares of the applicable series of preferred stock held by the Reporting Person on an as-converted to common stock basis. |
5. This option was granted on July 19, 2018 subject to the completion of the Issuer's initial public offering, which closed on July 24, 2018. 25% of the shares underlying this stock option vest on July 19, 2019 and the remainder of the shares underlying this stock option vest in 24 equal monthly installments thereafter. |
/s/ Robert Coffin, attorney-in-fact | 07/26/2018 | |
** 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 4 (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. |