Statement of Changes in Beneficial Ownership (4)
December 03 2021 - 06:55PM
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
|
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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 * Clark Daniel
Emmett |
2. Issuer Name and Ticker or Trading
Symbol Sema4 Holdings Corp. [ SMFR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Secretary and General Counsel |
(Last)
(First)
(Middle)
C/O SEMA4 HOLDINGS CORP., 333 LUDLOW ST, NORTH TOWER, 8TH
FL. |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/1/2021
|
(Street)
STAMFORD, CT 06902
(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 |
Class A Common Stock |
12/1/2021 |
|
A |
|
5800 (1) |
A |
$6.05 |
8484 |
D |
|
Class A Common Stock |
12/1/2021 |
|
F(2) |
|
2093 |
D |
$5.53 (3) |
6391 |
D |
|
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 |
Explanation of
Responses: |
(1) |
The indicated shares were
issued to Reporting Person as a stock bonus in connection with the
elimination of Issuer's sabbatical leave program, in which all
employees of Issuer hired on or before June 30, 2021 were provided
an opportunity to receive a stock bonus in lieu of their continued
eligibility to take sabbatical leave. The stock bonus was fully
vested as of the date of issuance. |
(2) |
Represents the number of
shares required to be sold by the Reporting Person to cover certain
tax obligation in connection with the stock bonus granted to the
reporting person. This sale is mandated by the Issuer's election
under its equity incentive plans to require the satisfaction of tax
withholding obligations to be funded by a "sell to cover"
transaction and does not represent a discretionary trade by the
Reporting Person. |
(3) |
The price reported in Column
4 is a weighted average price. These shares were sold in multiple
transactions at prices ranging from $5.51 to $5.61, inclusive. The
reporting person undertakes to provide to the Issuer, any security
holder of the Issuer, or the staff of the Securities and Exchange
Commission, upon request, full information regarding the number of
shares sold at each separate price within the ranges set forth
herein. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Clark Daniel Emmett
C/O SEMA4 HOLDINGS CORP.
333 LUDLOW ST, NORTH TOWER, 8TH FL.
STAMFORD, CT 06902 |
|
|
Secretary and General Counsel |
|
Signatures
|
/s/ Daniel Clark,
Attorney-in-Fact |
|
12/3/2021 |
**Signature of Reporting
Person |
Date |
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