Statement of Changes in Beneficial Ownership (4)
February 21 2023 - 4:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Bernstein Karen |
2. Issuer Name and Ticker or Trading Symbol
Codiak BioSciences, Inc.
[
CDAK
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Last)
(First)
(Middle)
C/O CODIAK BIOSCIENCES, INC., 35 CAMBRIDGEPARK DRIVE, SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2023 |
|
(Street)
CAMBRIDGE, MA 02140
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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 | 2/16/2023 | | M | | 8750 | A | (1) | 8750 | I | See footnote (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
| Restricted Stock Units | (3) | 2/16/2023 | | M | | | 8750 | (4) | (4) | Common Stock | 8750 | $0.00 | 0 | I | See footnote (2) |
| Explanation of Responses: |
| (1) | Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. |
| (2) | Held by The Karen Bernstein Trust, As Amended & Restated, of which the reporting person is a trustee. |
| (3) | Each RSU represents a contingent right to receive one share of common stock. |
| (4) | On February 16, 2022, the reporting person was granted 8,750 RSUs, which vested in full on February 16, 2023. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Bernstein Karen
C/O CODIAK BIOSCIENCES, INC.
35 CAMBRIDGEPARK DRIVE, SUITE 500
CAMBRIDGE, MA 02140 | X |
|
|
|
Signatures
|
| /s/ Yalonda Howze, Attorney-in-Fact for Karen Bernstein | | 2/21/2023 |
| **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 control number. |
Codiak BioSciences (NASDAQ:CDAK)
Historical Stock Chart
From Mar 2024 to Apr 2024
Codiak BioSciences (NASDAQ:CDAK)
Historical Stock Chart
From Apr 2023 to Apr 2024
