0001104659-21-083662.txt : 20210621 0001104659-21-083662.hdr.sgml : 20210621 20210621193035 ACCESSION NUMBER: 0001104659-21-083662 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210617 FILED AS OF DATE: 20210621 DATE AS OF CHANGE: 20210621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DST Capital LLC CENTRAL INDEX KEY: 0001727656 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35853 FILM NUMBER: 211032562 BUSINESS ADDRESS: STREET 1: C/O BIOSTAGE, INC. STREET 2: 84 OCTOBER HILL ROAD CITY: HOLLISTON STATE: MA ZIP: 01746 BUSINESS PHONE: 774-233-7300 MAIL ADDRESS: STREET 1: C/O BIOSTAGE, INC. STREET 2: 84 OCTOBER HILL ROAD CITY: HOLLISTON STATE: MA ZIP: 01746 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Biostage, Inc. CENTRAL INDEX KEY: 0001563665 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 455210462 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 84 OCTOBER HILL ROAD STREET 2: SUITE 11 CITY: HOLLISTON STATE: MA ZIP: 01746 BUSINESS PHONE: (774) 233-7300 MAIL ADDRESS: STREET 1: 84 OCTOBER HILL ROAD STREET 2: SUITE 11 CITY: HOLLISTON STATE: MA ZIP: 01746 FORMER COMPANY: FORMER CONFORMED NAME: Harvard Apparatus Regenerative Technology, Inc. DATE OF NAME CHANGE: 20121204 4 1 tm2115117d1_4.xml OWNERSHIP DOCUMENT X0306 4 2021-06-17 0 0001563665 Biostage, Inc. BSTG 0001727656 DST Capital LLC C/O BIOSTAGE, INC. 84 OCTOBER HILL ROAD, SUITE 11 HOLLISTON MA 01746 0 0 1 0 Common Stock 2021-06-17 4 P 0 150000 2.00 A 3150000 D Common Stock 30722 I Owned by sole member of reporting person Warrant (right to buy) 2.00 2021-06-17 4 P 0 75000 A 2021-06-17 2026-06-17 Common Stock 75000 75000 D On June 17, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 150,000 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 75,000 shares of common stock with an exercise price of $2.00 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $300,000. /s/ Chad Porter, by power of attorney 2021-06-21