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) 11/02/2020 |
3. Issuer Name and Ticker or Trading Symbol
LogicBio Therapeutics, Inc. [ LOGC ] |
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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) |
Common Stock | 17,004 | D |
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 | ||||
Option to purchase Common Stock | (1) | 10/18/2026 | Common Stock | 8,001 | $0.5 | D | |
Option to purchase Common Stock | (2) | 11/02/2027 | Common Stock | 24,052 | $0.73 | D | |
Option to purchase Common Stock | (3) | 01/31/2028 | Common Stock | 22,906 | $0.73 | D | |
Option to purchase Common Stock | (4) | 10/23/2028 | Common Stock | 23,000 | $10.1 | D | |
Option to purchase Common Stock | (5) | 02/11/2030 | Common Stock | 28,921 | $7.11 | D | |
Restricted Stock Units(6) | (7) | (7) | Common Stock | 9,360 | $0.00 | D |
Explanation of Responses: |
1. The option vested 25% on the first anniversary of the vesting commencement date, October 17, 2017, and in equal one forty-eighth monthly installments thereafter. |
2. The option vested 10% on November 19, 2017, and in equal one forty-eighth monthly installments thereafter. |
3. The option began vesting in equal one forty-eighth monthly installments beginning on February 1, 2018. |
4. The option began vesting in equal one forty-eighth monthly installments beginning on November 30, 2018. |
5. 25% vests on 01/01/2021 and the remainder vests in equal monthly installments over the next 36 months. |
6. Each restricted stock unit ("RSU") represents a contingent right to receive one share of LogicBio Therapeutics Inc. (the "Company") common stock. |
7. The RSUs will fully vest on April 15, 2021, subject to the terms and conditions of the award and the Company's 2018 Equity Incentive Plan; provided, that if the reporting person's employment is terminated by the Company without "cause" or by the reporting person for "good reason" (as defined in the reporting person's employment agreement) prior to April 15, 2021, all such RSUs will vest on the date of termination. |
Remarks: |
Exhibit List: 24.1 Power of Attorney |
/s/ Jonathan Quick, as Attorney-in-Fact | 11/12/2020 | |
** 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. |