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Cartesian Therapeutics, Inc.

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6015
SEC CIK
0001453687
Parsed reports
365

Last 12 months

Inside the activity.

1 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202510
Jan 202603
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionSeries A Non-Voting Convertible Preferred Stock · Derivative 210.152 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · derivative · entry 11

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 0

Underlying: Common Stock · 7,005 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.expiration_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · derivative.underlying_shares: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F5 · ownership.nature: Shares are held in a trust for which the reporting person is a beneficiary. The reporting person's spouse is a trustee of this trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionSeries A Non-Voting Convertible Preferred Stock · Derivative 1,672.389 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · derivative · entry 10

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 0

Underlying: Common Stock · 55,746 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.expiration_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · derivative.underlying_shares: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F4 · ownership.nature: Shares are held in a trust for which the reporting person is a beneficiary. The reporting person is a trustee of this trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionSeries A Non-Voting Convertible Preferred Stock · Derivative 11,316.263 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · derivative · entry 9

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 0

Underlying: Common Stock · 377,208 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.expiration_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · derivative.underlying_shares: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F3 · ownership.nature: Shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse is a trustee of this trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionSeries A Non-Voting Convertible Preferred Stock · Derivative 3,304.559 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · derivative · entry 8

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 110,151 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F1 · derivative.expiration_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · derivative.underlying_shares: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionCommon Stock 94,568 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · nonDerivative · entry 7

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · as custodian

Disclosed balance after: 96,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · balance_after: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F8 · ownership.nature: The shares are held for SS, the child of the reporting person, through a custodial account established pursuant to the UTMA for which the reporting person serves as custodian.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionCommon Stock 94,568 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · nonDerivative · entry 6

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · as custodian

Disclosed balance after: 96,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · balance_after: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F7 · ownership.nature: The shares are held for LS, the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionCommon Stock 14,535 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · nonDerivative · entry 5

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by spouse

Disclosed balance after: 14,788

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · balance_after: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F6 · ownership.nature: Shares are held by the reporting person's spouse.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionCommon Stock 7,005 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · nonDerivative · entry 4

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 7,127

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · balance_after: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F5 · ownership.nature: Shares are held in a trust for which the reporting person is a beneficiary. The reporting person's spouse is a trustee of this trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionCommon Stock 55,746 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · nonDerivative · entry 3

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 56,719

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · balance_after: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F4 · ownership.nature: Shares are held in a trust for which the reporting person is a beneficiary. The reporting person is a trustee of this trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionCommon Stock 377,208 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · nonDerivative · entry 2

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 383,796

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · balance_after: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F3 · ownership.nature: Shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse is a trustee of this trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:47 UTC Exercise / conversionCommon Stock 110,151 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000067 · wk-form4_1712800025.xml · nonDerivative · entry 1

Singer Michael · CIK 0002000122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,754

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock.

F2 · balance_after: On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:43 UTC
Kalayoglu MuratDirector · 10% owner
Exercise / conversionSeries A Non-Voting Convertible Preferred Stock · Derivative 87,802.95 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000065 · wk-form4_1712799774.xml · derivative · entry 4

Kalayoglu Murat · CIK 0002000002 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 101,953.444

Underlying: Common Stock · 2,926,764 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F5 · price: These securities represent merger consideration payable as a result of the closing of the Merger and securities purchased in a private placement in November 2023.

F1 · derivative.exercise_date: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F1 · derivative.expiration_date: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F2 · derivative.underlying_shares: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F3 · ownership.nature: Shares are held in a trust (the "Trust") for the benefit of the reporting person's spouse and children. The reporting person's spouse is a trustee of the Trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:43 UTC
Kalayoglu MuratDirector · 10% owner
Exercise / conversionSeries A Non-Voting Convertible Preferred Stock · Derivative 14,755.609 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000065 · wk-form4_1712799774.xml · derivative · entry 3

Kalayoglu Murat · CIK 0002000002 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 491,853 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F4 · price: On November 13, 2023, the issuer acquired the private Delaware corporation which was then known as Cartesian Therapeutics, Inc. in accordance with the terms of an Agreement and Plan of Merger, dated November 13, 2023 (the "Merger"). These securities represent merger consideration payable as a result of the closing of the Merger.

F1 · derivative.exercise_date: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F1 · derivative.expiration_date: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F2 · derivative.underlying_shares: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:43 UTC
Kalayoglu MuratDirector · 10% owner
Exercise / conversionCommon Stock 2,926,764 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000065 · wk-form4_1712799774.xml · nonDerivative · entry 2

Kalayoglu Murat · CIK 0002000002 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 3,036,887

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F2 · balance_after: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F3 · ownership.nature: Shares are held in a trust (the "Trust") for the benefit of the reporting person's spouse and children. The reporting person's spouse is a trustee of the Trust.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:43 UTC
Kalayoglu MuratDirector · 10% owner
Exercise / conversionCommon Stock 491,853 Not disclosed Not disclosed
Disclosure

SEC source: 0001453687-24-000065 · wk-form4_1712799774.xml · nonDerivative · entry 1

Kalayoglu Murat · CIK 0002000002 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 506,377

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On March 27, 2024, issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the issuer's stockholders approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, the reporting person's shares of Series A Preferred Stock were limited to the extent that doing so would result in the reporting person beneficially owning greater than 19.9% of the issuer's outstanding Common Stock after giving effect to such conversion.

F2 · balance_after: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:35 UTC
Jewell Christopher MChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 142,547 Not disclosed Strike: $3.23 Not disclosed
Disclosure

SEC source: 0001453687-24-000061 · wk-form4_1712799327.xml · derivative · entry 3

Jewell Christopher M · CIK 0002000226 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,547

Underlying: Common Stock · 142,547 shares

Expires 2033-01-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: Following the Automatic Conversion, options previously exercisable for shares of Series A Preferred Stock may be exercised solely for shares of Common Stock.

F4 · derivative.exercise_date: Following the Automatic Conversion, the option is currently exercisable for 99,483 shares of Common Stock and becomes exercisable for an additional 2,969 shares of Common Stock each month until is is fully exercisable on June 16, 2025.

F1 · derivative.underlying_shares: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F1 · balance_after: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:35 UTC
Jewell Christopher MChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 4,276.454 Not disclosed Strike: $107.59 Not disclosed
Disclosure

SEC source: 0001453687-24-000061 · wk-form4_1712799327.xml · derivative · entry 2

Jewell Christopher M · CIK 0002000226 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Non-Voting Convertible Preferred Stock · 4,276.454 shares

Expires 2033-01-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: On November 13, 2023, the issuer acquired the private Delaware corporation which was then known as Cartesian Therapeutics, Inc. ("Old Cartesian") in accordance with the terms of an Agreement and Plan of Merger, dated November 13, 2023. Options to purchase Old Cartesian common stock held by the reporting person were converted into options to purchase shares of Series A Preferred Stock in connection with the acquisition.

F2 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. Prior to the Automatic Conversion, the option was exercisable for 2,984.676 shares of Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") and would have become exercisable for an additional 89.093 shares each month until it was fully exercisable on June 16, 2025.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:33 UTC
Miljkovic MilosChief Medical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 85,528 Not disclosed Strike: $3.23 Not disclosed
Disclosure

SEC source: 0001453687-24-000059 · wk-form4_1712799193.xml · derivative · entry 3

Miljkovic Milos · CIK 0002000282 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,528

Underlying: Common Stock · 85,528 shares

Expires 2031-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: Following the Automatic Conversion, options previously exercisable for Series A Preferred Stock may be exercised solely for shares of Common Stock.

F4 · derivative.exercise_date: Following the Automatic Conversion, the option is currently exercisable for 42,764 shares of Common Stock and becomes exercisable for the remaining 42,764 shares of Common Stock in two equal tranches on September 13, 2024 and 2025.

F1 · derivative.underlying_shares: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F1 · balance_after: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:33 UTC
Miljkovic MilosChief Medical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 2,565.872 Not disclosed Strike: $107.59 Not disclosed
Disclosure

SEC source: 0001453687-24-000059 · wk-form4_1712799193.xml · derivative · entry 2

Miljkovic Milos · CIK 0002000282 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Non-Voting Convertible Preferred Stock · 2,565.872 shares

Expires 2031-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: On November 13, 2023, the issuer acquired the private Delaware corporation which was then known as Cartesian Therapeutics, Inc. ("Old Cartesian") in accordance with the terms of an Agreement and Plan of Merger, dated November 13, 2023. Options to purchase Old Cartesian common stock held by the reporting person were converted into options to purchase shares of Series A Preferred Stock in connection with the acquisition.

F2 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. Prior to the Automatic Conversion, the option was exercisable for 1,282.936 shares of Series A Preferred Stock and would have become exercisable for the remaining 1,282.936 shares of Series A Preferred Stock in two equal tranches on September 13, 2024 and 2025.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:30 UTC
Kurtoglu MetinChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 14,254 Not disclosed Strike: $3.23 Not disclosed
Disclosure

SEC source: 0001453687-24-000057 · wk-form4_1712799040.xml · derivative · entry 7

Kurtoglu Metin · CIK 0002000284 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,254

Underlying: Common Stock · 14,254 shares

Expires 2032-02-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: Following the Automatic Conversion, options previously exercisable for shares of Series A Preferred Stock may be exercised solely for shares of Common Stock.

F7 · derivative.exercise_date: Following the Automatic Conversion, the option is currently exercisable for 7,127 shares of Common Stock and becomes exercisable for the remaining 7,127 shares of Common Stock in two equal tranches on March 1, 2025 and 2026.

F1 · derivative.underlying_shares: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F1 · balance_after: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:30 UTC
Kurtoglu MetinChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 427.646 Not disclosed Strike: $107.59 Not disclosed
Disclosure

SEC source: 0001453687-24-000057 · wk-form4_1712799040.xml · derivative · entry 6

Kurtoglu Metin · CIK 0002000284 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Non-Voting Convertible Preferred Stock · 427.646 shares

Expires 2033-01-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: On November 13, 2023, the issuer acquired the private Delaware corporation which was then known as Cartesian Therapeutics, Inc. ("Old Cartesian") in accordance with the terms of an Agreement and Plan of Merger, dated November 13, 2023. Options to purchase Old Cartesian common stock held by the reporting person were converted into options to purchase shares of Series A Preferred Stock in connection with the acquisition.

F6 · derivative.exercise_date: Prior to the Automatic Conversion, the option was exercisable for 213.823 shares of Series A Preferred Stock and would have become exercisable for the remaining 213.823 shares of Series A Preferred Stock in two equal tranches on March 1, 2025 and 2026.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:30 UTC
Kurtoglu MetinChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 14,254 Not disclosed Strike: $3.23 Not disclosed
Disclosure

SEC source: 0001453687-24-000057 · wk-form4_1712799040.xml · derivative · entry 5

Kurtoglu Metin · CIK 0002000284 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,254

Underlying: Common Stock · 14,254 shares

Expires 2031-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: Following the Automatic Conversion, options previously exercisable for shares of Series A Preferred Stock may be exercised solely for shares of Common Stock.

F4 · derivative.exercise_date: Following the Automatic Conversion, the option is fully exercisable.

F1 · derivative.underlying_shares: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F1 · balance_after: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:30 UTC
Kurtoglu MetinChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 427.645 Not disclosed Strike: $107.59 Not disclosed
Disclosure

SEC source: 0001453687-24-000057 · wk-form4_1712799040.xml · derivative · entry 4

Kurtoglu Metin · CIK 0002000284 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Non-Voting Convertible Preferred Stock · 427.645 shares

Expires 2031-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: On November 13, 2023, the issuer acquired the private Delaware corporation which was then known as Cartesian Therapeutics, Inc. ("Old Cartesian") in accordance with the terms of an Agreement and Plan of Merger, dated November 13, 2023. Options to purchase Old Cartesian common stock held by the reporting person were converted into options to purchase shares of Series A Preferred Stock in connection with the acquisition.

F2 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. Prior to the Automatic Conversion, the option was fully exercisable.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:30 UTC
Kurtoglu MetinChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 213,820 Not disclosed Strike: $1.41 Not disclosed
Disclosure

SEC source: 0001453687-24-000057 · wk-form4_1712799040.xml · derivative · entry 3

Kurtoglu Metin · CIK 0002000284 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,820

Underlying: Common Stock · 213,820 shares

Expires 2026-11-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: Following the Automatic Conversion, options previously exercisable for shares of Series A Preferred Stock may be exercised solely for shares of Common Stock.

F4 · derivative.exercise_date: Following the Automatic Conversion, the option is fully exercisable.

F1 · derivative.underlying_shares: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F1 · balance_after: On April 4, 2024, the issuer effected a 1-for-30 reverse stock split (the "Reverse Stock Split") of its common stock ("Common Stock"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 01:30 UTC
Kurtoglu MetinChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 6,414.682 Not disclosed Strike: $46.77 Not disclosed
Disclosure

SEC source: 0001453687-24-000057 · wk-form4_1712799040.xml · derivative · entry 2

Kurtoglu Metin · CIK 0002000284 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Non-Voting Convertible Preferred Stock · 6,414.682 shares

Expires 2026-11-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: On November 13, 2023, the issuer acquired the private Delaware corporation which was then known as Cartesian Therapeutics, Inc. ("Old Cartesian") in accordance with the terms of an Agreement and Plan of Merger, dated November 13, 2023. Options to purchase Old Cartesian common stock held by the reporting person were converted into options to purchase shares of Series A Preferred Stock in connection with the acquisition.

F2 · derivative.exercise_date: On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved the Reverse Stock Split and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. Prior to the Automatic Conversion, the option was fully exercisable.

Read SEC document
April 08, 2024 Filed Apr 10, 2024 20:20 UTC ConversionSeries A Non-Voting Convertible Preferred Stock · Derivative 14,755.609 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-008251 · form4.xml · derivative · entry 4

Hoge Elizabeth · CIK 0002000987 · 10% owner

Seven One Eight Three Four Irrevocable Trust · CIK 0002000959 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · by spouse

Disclosed balance after: 0

Underlying: Common Stock · 491,853 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F1 · derivative.exercise_date: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F1 · derivative.expiration_date: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

Read SEC document
April 08, 2024 Filed Apr 10, 2024 20:20 UTC ConversionSeries A Non-Voting Convertible Preferred Stock · Derivative 87,802.95 $0.00 $0.00
Disclosure

SEC source: 0001062993-24-008251 · form4.xml · derivative · entry 3

Hoge Elizabeth · CIK 0002000987 · 10% owner

Seven One Eight Three Four Irrevocable Trust · CIK 0002000959 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · by trust

Disclosed balance after: 101,953.444

Underlying: Common Stock · 2,926,764 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F1 · derivative.exercise_date: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F1 · derivative.expiration_date: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F2 · ownership.nature: Shares are owned directly by Seven One Eight Three Four Irrevocable Trust (the "Trust"). The reporting person is a trustee and beneficiary of the Trust.

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April 08, 2024 Filed Apr 10, 2024 20:20 UTC ConversionCommon Stock 491,853 Not disclosed Not disclosed
Disclosure

SEC source: 0001062993-24-008251 · form4.xml · nonDerivative · entry 2

Hoge Elizabeth · CIK 0002000987 · 10% owner

Seven One Eight Three Four Irrevocable Trust · CIK 0002000959 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · by spouse

Disclosed balance after: 506,377

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

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April 08, 2024 Filed Apr 10, 2024 20:20 UTC ConversionCommon Stock 2,926,764 Not disclosed Not disclosed
Disclosure

SEC source: 0001062993-24-008251 · form4.xml · nonDerivative · entry 1

Hoge Elizabeth · CIK 0002000987 · 10% owner

Seven One Eight Three Four Irrevocable Trust · CIK 0002000959 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · as trustee

Disclosed balance after: 3,036,887

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Following the approval by the stockholders of the issuer of the conversion of the Series A Non-Voting Convertible Preferred Stock of the issuer ("Series A Preferred Stock") into shares of common stock of the issuer ("Common Stock"), each share of Series A Preferred Stock automatically converted into 33-1/3 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.9% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F2 · ownership.nature: Shares are owned directly by Seven One Eight Three Four Irrevocable Trust (the "Trust"). The reporting person is a trustee and beneficiary of the Trust.

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March 26, 2024 Filed Mar 26, 2024 20:32 UTC
SPRINGER TIMOTHY ADirector · 10% owner
Exercise / conversionWarrant (Right to Buy) · Derivative 1,970,443 $0.00 Strike: $1.46 $0.00
Disclosure

SEC source: 0001453687-24-000045 · wk-form4_1711485128.xml · derivative · entry 4

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,970,443 shares

Expires 2024-12-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: Held by TAS Partners LLC. The reporting person is the managing member of TAS Partners LLC. The reporting person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any.

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March 26, 2024 Filed Mar 26, 2024 20:32 UTC
SPRINGER TIMOTHY ADirector · 10% owner
Exercise / conversionCommon Stock 1,970,443 $1.46 $2,876,846.78
Disclosure

SEC source: 0001453687-24-000045 · wk-form4_1711485128.xml · nonDerivative · entry 1

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 33,043,849

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: Held by TAS Partners LLC. The reporting person is the managing member of TAS Partners LLC. The reporting person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any.

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March 18, 2024 Filed Mar 20, 2024 21:09 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 19,044 $0.60 $11,397.83
Disclosure

SEC source: 0001453687-24-000043 · wk-form4_1710968926.xml · nonDerivative · entry 1

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 31,073,406

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.575 to $0.60. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Held by TAS Partners LLC. The reporting person is the managing member of TAS Partners LLC. The reporting person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any.

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March 18, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 800 $0.61 $488.00
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 10

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 104,818

Read SEC document
March 15, 2024 Filed Mar 18, 2024 21:29 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 537,500 $0.59 $314,545.00
Disclosure

SEC source: 0001453687-24-000041 · wk-form4_1710797338.xml · nonDerivative · entry 2

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 31,054,362

F3 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.5326 to $0.60. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Held by TAS Partners LLC. The reporting person is the managing member of TAS Partners LLC. The reporting person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any.

Read SEC document
March 15, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 1,200 $0.56 $672.00
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 9

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 104,018

Read SEC document
March 14, 2024 Filed Mar 18, 2024 21:29 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 648,372 $0.54 $351,676.97
Disclosure

SEC source: 0001453687-24-000041 · wk-form4_1710797338.xml · nonDerivative · entry 1

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 30,516,862

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.5002 to $0.5600. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Held by TAS Partners LLC. The reporting person is the managing member of TAS Partners LLC. The reporting person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any.

Read SEC document
March 14, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 2,000 $0.53 $1,061.00
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 8

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 102,818

F6 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.52 to $0.54. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
March 13, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 3,200 $0.58 $1,867.84
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 7

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 100,818

F5 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.58 to $0.59. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
March 12, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 1,200 $0.61 $734.64
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 6

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 97,618

F4 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.61 to $0.62. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
March 11, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 1,200 $0.65 $784.92
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 5

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 96,418

F3 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.65 to $0.66. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
March 08, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 4,800 $0.66 $3,186.72
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 4

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 95,218

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.65 to $0.68. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
February 07, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 2,400 $0.66 $1,575.12
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 3

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 90,418

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.65 to $0.67. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
February 06, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 800 $0.65 $520.00
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 2

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 88,018

Read SEC document
January 17, 2024 Filed Mar 28, 2024 21:11 UTC
SPRINGER TIMOTHY ADirector · 10% owner
PurchaseCommon Stock 800 $0.69 $552.00
Disclosure

SEC source: 0001453687-24-000050 · wk-form4_1711660282.xml · nonDerivative · entry 1

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By wife

Disclosed balance after: 87,218

Read SEC document
January 02, 2024 Filed Jan 4, 2024 22:06 UTC
SPRINGER TIMOTHY ADirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 228,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001453687-24-000022 · wk-form4_1704405968.xml · derivative · entry 4

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,000

Underlying: Common Stock · 228,000 shares

Expires 2034-01-01

F3 · derivative.exercise_date: This award will vest in 36 equal monthly installments, so that it shall be fully vested on the third anniversary of the date of grant.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 22:06 UTC
SPRINGER TIMOTHY ADirector · 10% owner
GrantCommon Stock 178,000 $0.00 $0.00
Disclosure

SEC source: 0001453687-24-000022 · wk-form4_1704405968.xml · nonDerivative · entry 1

SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,471,625

F1 · kind: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, which will vest in three equal annual installments so that the underlying shares will be fully vested on January 2, 2027.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 22:05 UTC GrantStock Option (Right to Buy) · Derivative 248,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001453687-24-000019 · wk-form4_1704405888.xml · derivative · entry 2

COX CARRIE SMITH · CIK 0001110753 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,000

Underlying: Common Stock · 248,000 shares

Expires 2034-01-01

F2 · derivative.exercise_date: This award will vest in 36 equal monthly installments, so that it shall be fully vested on January 2, 2027.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 22:05 UTC GrantCommon Stock 178,000 $0.00 $0.00
Disclosure

SEC source: 0001453687-24-000019 · wk-form4_1704405888.xml · nonDerivative · entry 1

COX CARRIE SMITH · CIK 0001110753 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390,881

F1 · kind: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, which will vest in three equal annual installments so that the underlying shares will be fully vested on January 2, 2027.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 17:04 UTC GrantStock Option (Right to Buy) · Derivative 228,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001453687-24-000018 · wk-form4_1704405850.xml · derivative · entry 2

ZENNER PATRICK J · CIK 0001139036 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,000

Underlying: Common Stock · 228,000 shares

Expires 2034-01-01

F2 · derivative.exercise_date: This award will vest in 36 equal monthly installments, so that it shall be fully vested on January 2, 2027.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 17:04 UTC GrantCommon Stock 178,000 $0.00 $0.00
Disclosure

SEC source: 0001453687-24-000018 · wk-form4_1704405850.xml · nonDerivative · entry 1

ZENNER PATRICK J · CIK 0001139036 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,248

F1 · kind: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, which will vest in three equal annual installments so that the underlying shares will be fully vested on January 2, 2027.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.