0000899243-23-012087.txt : 20230503 0000899243-23-012087.hdr.sgml : 20230503 20230503163031 ACCESSION NUMBER: 0000899243-23-012087 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230501 FILED AS OF DATE: 20230503 DATE AS OF CHANGE: 20230503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PureTech Health LLC CENTRAL INDEX KEY: 0001727395 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39362 FILM NUMBER: 23884531 BUSINESS ADDRESS: STREET 1: 501 BOYLSTON STREET STREET 2: SUITE 6102 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-482-2333 MAIL ADDRESS: STREET 1: 501 BOYLSTON STREET STREET 2: SUITE 6102 CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PureTech Health plc CENTRAL INDEX KEY: 0001782999 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39362 FILM NUMBER: 23884532 BUSINESS ADDRESS: STREET 1: 6 TIDE STREET STREET 2: SUITE 400 CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 617-482-2333 MAIL ADDRESS: STREET 1: 6 TIDE STREET STREET 2: SUITE 400 CITY: BOSTON STATE: MA ZIP: 02210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GELESIS HOLDINGS, INC. CENTRAL INDEX KEY: 0001805087 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 844730610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 501 BOYLSTON STREET, SUITE 6102 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 857-327-7737 MAIL ADDRESS: STREET 1: 501 BOYLSTON STREET, SUITE 6102 CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: CAPSTAR SPECIAL PURPOSE ACQUISITION CORP. DATE OF NAME CHANGE: 20200227 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-05-01 0 0001805087 GELESIS HOLDINGS, INC. NYSE: GLS 0001782999 PureTech Health plc 6 TIDE STREET, SUITE 400 BOSTON MA 02210 0 0 1 0 0001727395 PureTech Health LLC 6 TIDE STREET, SUITE 400 BOSTON MA 02210 0 0 1 0 0 Convertible Note 0.2744 2023-05-01 4 P 0 5000000 5000000.00 A 2023-05-01 2023-07-31 Common Stock 18634597 5000000 I By PureTech Health LLC Convertible Note 0.0182 2023-05-01 4 P 0 2000000 2000000.00 A 2023-05-01 2023-07-31 Common Stock 109890110 2000000 I By PureTech Health LLC Warrants 0.2744 2023-05-01 4 P 0 23688047 A 2023-05-01 2028-02-21 Common Stock 23688047 23688047 I By PureTech Health LLC Warrants 0.0182 2023-05-01 4 P 0 192307692 A 2023-05-01 2028-05-01 Common Stock 192307692 192307692 I By PureTech Health LLC Pursuant to a Note and Warrant Purchase Agreement, on February 21, 2023, the Issuer issued to PureTechHealth LLC convertible notes in an aggregate principal amount of $5,000,000 as well as warrants to purchase 23,688,047 shares of common stock. At the time of issuance, both the conversion of the convertible notes and exercise of the warrants was subject to the Issuer first receiving stockholder approval for the issuance of the underlying shares of common stock. On May 1, 2023, the Issuer and the Reporting Persons amended the terms of the convertible notes and warrants to remove this restriction on conversion and exercise, respectively. The number of shares underlying the convertible notes reported herein is based on the outstanding principal amount plus accrued and unpaid interest as of April 30, 2023, and such number is subject to adjustment in accordance with the terms of the convertible notes. The warrants were issued in connection with the purchase of the convertible note purchases reported herein PURETECH HEALTH PLC By: /s/ Bharatt Chowrira, Name: Bharatt Chowrira, Title: President, Chief Business, Financial and Operating Officer 2023-05-03 PURETECH HEALTH LLC, By: /s/ Bharatt Chowrira, Name: Bharatt Chowrira, Title: President, Chief Business, Financial and Operating Officer 2023-05-03