Statement of Changes in Beneficial Ownership (4)
19 Noviembre 2021 - 2:34PM
Edgar (US Regulatory)
FORM 4
[X]
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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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Walker Paul Edward |
2. Issuer Name and Ticker or Trading Symbol
Trillium Therapeutics Inc.
[
TRIL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1954 GREENSPRING DRIVE, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/17/2021 |
(Street)
TIMONIUM, MD 21093
(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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Common Shares | 11/17/2021 | | D | | 5736363 | D | $0.00 (1) | 0 | I | See Note 2 (2) |
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 |
Warrant to Purchase Common Shares | $0.96 | 11/17/2021 | | D | | | 850000 | (3) | 2/28/2024 | Common Shares | 850000 | $0.00 | 0 | I | See Note 2 |
Series II Non-Voting Convertible First Preferred Shares | $0.00 | 11/17/2021 | | D | | | 6750000 | (1) | (1) | Common Shares | 6750000 | $0.00 | 0 | I | See Note 2 |
Warrant to Purchase Series II Preferred Shares | $0.96 | 11/17/2021 | | D | | | 5400000 | (3) | 2/28/2024 | Series II Non-Voting Convertible First Preferred Shares | 5400000 | $0.00 | 0 | I | See Note 2 |
Stock Option (Right to Buy) | $12.03 | 11/17/2021 | | D | | | 40000 | (4) | 12/23/2030 | Common Shares | 40000 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | On November 17, 2021, PF Argentum Acquisition ULC, an indirect wholly owned subsidiary of Pfizer, Inc. (the "Purchaser") acquired all of the outstanding common shares of Trillium Therapeutics Inc. (the "Issuer") under a plan of arrangement pursuant to the Canada Business Corporations Act (British Columbia) (the "Plan of Arrangement"), whereby the Issuer became a wholly owned subsidiary of the Purchaser. At the Effective Time (the "Effective Time") of the Plan of Arrangement, all common shares and preferred shares (collectively, "Shares") of the Issuer that were issued and outstanding immediately prior to the Effective Time were converted into the right to receive $18.50 per share in cash (the "Consideration"). |
(2) | The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by
GEO V in which the Reporting Person has no pecuniary interest. |
(3) | At the Effective Time, each warrant to purchase Shares (a "Warrant") outstanding immediately prior to the Effective Time was transferred to the Issuer for, at the holder's election: (x) a cash payment equal to the amount by which the Consideration exceeded the per share exercise price such Warrant, or (y) a cash payment equal to the amount by which the Black-Scholes value of such exceeded the per share exercise price of such Warrant. |
(4) | At the Effective Time, each option to purchase Shares (an "Option") outstanding immediately prior to the Effective Time was deemed to be assigned and transferred to the Issuer in exchange for a cash payment equal to the amount by which the Consideration exceeded the per share exercise price of such Option. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Walker Paul Edward 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM, MD 21093 | X |
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Signatures
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/s/ Sasha Keough, attorney-in-fact | | 11/19/2021 |
**Signature of Reporting Person | Date |
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