Statement of Changes in Beneficial Ownership (4)
22 Diciembre 2021 - 3:31PM
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
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1. Name and Address of Reporting Person
*
Semigran Marc |
2. Issuer Name and Ticker or Trading Symbol
Renovacor, Inc.
[
RCOR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Medical Officer |
(Last)
(First)
(Middle)
C/O RENOVACOR, INC., P.O. BOX 8142 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/20/2021 |
(Street)
GREENWICH, CT 06836
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Stock Option | $10.83 | 12/20/2021 | | A | | 88991 | | (1) | 6/1/2031 | Common Stock | 88991 | $0.00 | 88991 | D | |
Explanation of Responses: |
(1) | On September 2, 2021, the Reporting Person was granted a stock option that will vest and become exercisable in full on December 2, 2021, subject to the achievement of certain performance based milestones set forth in the
Employment Agreement by and between the Issuer and the Reporting Person, dated May 5, 2021 (with the achievement of such performance based milestones subject to the approval of the Compensation Committee of the Board
of Directors of the Issuer), and the continuous service of the Reporting Person on such vesting date. On December 20, 2021, the Compensation Committee of the Board of Directors of the Issuer determined that the performance
criteria was met, resulting in the vesting of the option as to 88,991 shares as of such vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Semigran Marc C/O RENOVACOR, INC. P.O. BOX 8142 GREENWICH, CT 06836 |
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| Chief Medical Officer |
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Signatures
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By: /s/ Joseph Carroll, as attorney- in-fact | | 12/22/2021 |
**Signature of Reporting Person | Date |
Renovacor (AMEX:RCOR)
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