0000899243-19-003145.txt : 20190211 0000899243-19-003145.hdr.sgml : 20190211 20190211162624 ACCESSION NUMBER: 0000899243-19-003145 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190208 FILED AS OF DATE: 20190211 DATE AS OF CHANGE: 20190211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAKIN KEVIN CENTRAL INDEX KEY: 0001184421 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36751 FILM NUMBER: 19585819 MAIL ADDRESS: STREET 1: 36 CHURCH LANE CITY: WESTPORT STATE: CT ZIP: 06880 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HISTOGENICS CORP CENTRAL INDEX KEY: 0001372299 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 830 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-457-7900 MAIL ADDRESS: STREET 1: 830 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-02-08 0 0001372299 HISTOGENICS CORP HSGX 0001184421 RAKIN KEVIN C/O HISTOGENICS CORPORATION 830 WINTER STREET, 3RD FLOOR WALTHAM MA 02451 1 0 0 0 Common Stock 2019-02-08 4 M 0 173076 A 418639 D Common Stock 2019-02-08 4 M 0 33333 A 66666 I See Footnote Common Stock 2019-02-08 4 M 0 33333 A 66666 I See Footnote Common Stock 2019-02-08 4 M 0 111111 A 257846 I See Footnote Common Stock Warrant (Right to Buy) 0.01 2019-02-08 4 M 0 173076 D 2018-10-10 2023-10-10 Common Stock 173076 0 D Common Stock Warrant (Right to Buy) 0.01 2019-02-08 4 M 0 33333 D 2016-11-22 2021-11-22 Common Stock 33333 0 I See Footnote Common Stock Warrant (Right to Buy) 0.01 2019-02-08 4 M 0 33333 D 2016-11-22 2021-11-22 Common Stock 33333 0 I See Footnote Common Stock Warrant (Right to Buy) 0.01 2019-02-08 4 M 0 111111 D 2016-11-22 2021-11-22 Common Stock 111111 0 I See Footnote The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019. The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein. The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein. The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein. /s/ Kevin Rakin 2019-02-11