12/10/2024 | Press release | Distributed by Public on 12/10/2024 20:57
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 | ||||||||
Stock Option (right to buy) | $1.62 | 12/06/2024 | A | 300,000 | (1) | 12/06/2034 | Common Stock | 300,000 | $ 0 | 300,000 | D | ||||
Stock Option (right to buy) | $0.438 | 12/06/2024 | A | 500,000 | (2) | 12/06/2034 | Common Stock | 500,000 | $ 0 | 500,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Klowden Michael NKGEN BIOTECH, INC. 3001 DAIMLER STREET SANTA ANA, CA 92705 |
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/s/ Paul Y. Song, as Attorney-in-Fact | 12/10/2024 |
**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) | On December 6, 2024, the Reporting Person was granted 300,000 options pursuant to the Company's 2023 Equity Incentive Plan, with 40% vesting immediately as of the grant date, and the remaining options vesting in 20 equal installments on the sixth day of each month, beginning January 6, 2025, and ending August 6, 2026, subject to the Reporting Person's continued service with the Issuer on each respective vesting date. |
(2) | On December 6, 2024, the Reporting Person was granted 500,000 options pursuant to the Company's 2023 Equity Incentive Plan, vesting in 36 equal installments on the sixth of each month, beginning January 6, 2025, and ending December 6, 2027, subject to the Reporting Person's continued service with the Issuer on each respective vesting date |