Statement of Changes in Beneficial Ownership (4)
January 18 2022 - 5:01PM
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
*
Cavanaugh Kathryn |
2. Issuer Name and Ticker or Trading Symbol
GELESIS HOLDINGS, INC.
[
GLS
]
|
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)
GELESIS HOLDINGS, INC., 501 BOYLSTON STREET, SUITE 6102 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/13/2022 |
(Street)
BOSTON,, MA 02116
(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 | 1/13/2022 | | M(1) | | 12825 | A | (1) | 12825 | D | |
Class A Common Stock | 1/13/2022 | | J(2) | | 12825 | D | (2) | 0 | D | |
Common Stock | 1/13/2022 | | J(2) | | 12825 | A | (2) | 12825 | 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 |
Class B Common Stock | (1) | 1/13/2022 | | J (3) | | | 5175 | (1) | (1) | Class A Common Stock | 5175 | (1) | 12825 | D | |
Class B Common Stock | (1) | 1/13/2022 | | M (1) | | | 12825 | (1) | (1) | Class A Common Stock | 12825 | (1) | 0 | D | |
Explanation of Responses: |
(1) | Immediately prior to the closing of the transactions (the "Closing" of the "Business Combination") contemplated by that certain Business Combination Agreement dated as of July 19, 2021, as amended, by and among the Issuer (f/k/a Capstar Special Purpose Acquisition Corp.), CPSR Gelesis Merger Sub, Inc. and Gelesis, Inc., each share of the Issuer's Class B Common Stock automatically converted into shares of Class A Common Stock on a one-for-one basis (the "Conversion"). |
(2) | Immediately following the Conversion but prior to Closing, the Class A Common Stock was reclassified as Common Stock. |
(3) | Represents shares of Class B Common Stock forfeited to the Issuer for no consideration in connection with the Business Combination. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cavanaugh Kathryn GELESIS HOLDINGS, INC. 501 BOYLSTON STREET, SUITE 6102 BOSTON,, MA 02116 | X |
|
|
|
Signatures
|
/s/ David Abraham, Attorney-in-Fact | | 1/18/2022 |
**Signature of Reporting Person | Date |
Gelesis (NYSE:GLS)
Historical Stock Chart
From Mar 2024 to Apr 2024
Gelesis (NYSE:GLS)
Historical Stock Chart
From Apr 2023 to Apr 2024