01/10/2025 | Press release | Distributed by Public on 01/10/2025 15:55
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $7.33 | 01/07/2025 | A | 52,500 | (3) | 01/06/2035 | Common Stock | 52,500 | $ 0 | 52,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Otero Jose Manuel C/O LEXEO THERAPEUTICS, INC. 345 PARK AVENUE SOUTH, FLOOR 6 NEW YORK, NY 10010 |
Chief Technical Officer |
/s/ Youjin Choi, Attorney-in-Fact | 01/10/2025 |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The reported securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. Twenty-five percent (25%) of the RSUs shall vest on February 15, 2026, and 1/16th of the RSUs shall vest in quarterly installments thereafter on the Issuer's standard quarterly vesting dates, subject to the Reporting Person's continued service through each applicable vesting date. |
(2) | The reported securities are RSUs. |
(3) | 25% of the shares underlying the option vest and become exercisable on January 7, 2026, and 1/48th of the shares underlying the option shall vest in monthly installments thereafter, subject to the Reporting Person's continuous service. |