12/11/2024 | Press release | Distributed by Public on 12/11/2024 15:54
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 12/09/2024 | M | 33,496 | (10) | (10) | Common Stock | 33,496 | $ 0 | 66,991 | D | ||||
Restricted Stock Units | (1) | 12/10/2024 | M | 5,362 | (11) | (11) | Common Stock | 5,362 | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 12/10/2024 | M | 15,425 | (12) | (12) | Common Stock | 15,425 | $ 0 | 15,424 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MAETZOLD DEREK J C/O CASTLE BIOSCIENCES, INC. 505 S. FRIENDSWOOD DRIVE, SUITE 401 FRIENDSWOOD, TX 77546 |
X | Pres. & Chief Exec. Officer |
/s/ Frank Stokes, Attorney-in-fact | 12/11/2024 |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's Common Stock. |
(2) | Held by The Maetzold Descendants 2020 Trust of which the Reporting Person's spouse is the trustee and the Reporting Person's spouse and their children are beneficiaries. |
(3) | Held by Derek Maetzold 2020 Irrevocable Trust of which the Reporting Person is the trustee and his children are beneficiaries. |
(4) | Held by The Maetzold 2018 Remainder Trust FBO Emily Carol Kirk of which the Reporting Person is the trustee and his child is the beneficiary. |
(5) | Held by The Maetzold 2018 Remainder Trust FBO Hannah Elizabeth Maetzold of which the Reporting Person is the trustee and his child is the beneficiary. |
(6) | Held by The Maetzold 2018 Remainder Trust FBO John Derek Maetzold of which the Reporting Person is the trustee and his child is the beneficiary. |
(7) | Held by The Maetzold 2018 Remainder Trust FBO Peter Douglas Maetzold of which the Reporting Person is the trustee and his child is the beneficiary. |
(8) | Held by DJM Grantor Retained Annuity Trust No. 5 of which the Reporting Person is the trustee and beneficiary. |
(9) | Held by DJM Grantor Retained Annuity Trust No. 6 of which the Reporting Person is the trustee and the beneficiaries are The Maetzold 2018 Remainder Trust FBO John Derek Maetzold, The Maetzold 2018 Remainder Trust FBO Emily Carol Kirk, The Maetzold 2018 Remainder Trust FBO Peter Douglas Maetzold and The Maetzold 2018 Remainder Trust FBO Hannah Elizabeth Maetzold. |
(10) | On December 9, 2022, the Reporting Person was granted 133,983 RSUs which vest in four equal installments beginning on December 9, 2023. |
(11) | On December 10, 2020, the Reporting Person was granted 21,450 RSUs which vest in four equal installments beginning on December 10, 2021. |
(12) | On December 10, 2021, the Reporting Person was granted 61,698 RSUs which vest in four equal installments beginning on December 10, 2022. |