FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/29/2016 |
3. Issuer Name and Ticker or Trading Symbol
Syros Pharmaceuticals, Inc. [ SYRS ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | 03/01/2014 | 05/22/2023 | Common Stock | 21,314 | $1.01 | D | |
Stock Option (right to buy) | (1) | 05/22/2023 | Common Stock | 7,105 | $1.01 | D | |
Stock Option (right to buy) | 05/22/2015 | 10/22/2024 | Common Stock | 7,105 | $3.04 | D | |
Stock Option (right to buy) | (2) | 09/17/2025 | Common Stock | 7,333 | $6.94 | D | |
Series A-2 Preferred Stock | (3) | (3) | Common Stock | 146,666 | (3) | D | |
Series A-2 Preferred Stock | (3) | (3) | Common Stock | 40,000 | (3) | I | See Footnote(4) |
Series A-2 Preferred Stock | (3) | (3) | Common Stock | 40,000 | (3) | I | See Footnote(5) |
Series A-2 Preferred Stock | (3) | (3) | Common Stock | 40,000 | (3) | I | See Footnote(6) |
Explanation of Responses: |
1. This option vested as to 25% of the shares on November 28, 2013 with the remaining shares vesting in equal monthly installments thereafter through November 28, 2016. |
2. This option vests as to 25% of the shares on September 17, 2016 with the remaining shares vesting in equal monthly installments thereafter through September 17, 2019. |
3. The Series A-2 Preferred Stock is convertible into Common Stock on a 3.75for-one basis into the number of shares shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. |
4. By Ann H. Sharp and Christine S. Carey, as Trustees of the Phillip A. Sharp 2008 Irrevocable Trust f/b/o Christine S. Carey |
5. By Ann H. Sharp and Helena S. Gordon, as Trustees of the Phillip A. Sharp 2008 Irrevocable Trust f/b/o Helena H. Sharp |
6. By Ann H. Sharp and Sarah S. Brokaw, as Trustees of the Phillip A. Sharp 2008 Irrevocable Trust f/b/o Sarah S. Brokaw |
Remarks: |
Exhibit List Exhibit 24 - Power of Attorney |
/s/ Jorge Conde, attorney-in-fact | 06/29/2016 | |
** 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 5 (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 Number. |