Artal Group S.A.'s Form 4 filing
Omega Therapeutics, Inc.OMGA · filed Aug 3, 2021
- Accession no.
- 0000899243-21-031304
- Filed
- Aug 3, 2021, 5:16 PM ET
- Trade date
- Jul 30-Aug 3, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market purchases total $16.1M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Artal Group S.A.CIK 0001053906 | 10% Owner |
| Artal International S.C.A.CIK 0001218180 | 10% Owner |
| Westend S.A.CIK 0001283968 | 10% Owner |
| Invus Public Equities Advisors, LLCCIK 0001340096 | 10% Owner |
| Invus Public Equities, L.P.CIK 0001340097 | 10% Owner |
| Stichting Administratiekantoor WestendCIK 0001460840 | 10% Owner |
| Artal International Management S.A.CIK 0001522131 | 10% Owner |
| Artal Treasury LtdCIK 0001766952 | 10% Owner |
| Wittouck AmauryCIK 0001841311 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 30, 2021 | Common Stock | PPurchaseAcquired | +75,000 | $16.14F1 | +$1,210,342.5 | 75,000 | Direct | |
| Aug 3, 2021 | Common Stock | CConversionAcquired | +1,323,530 | –F4 | – | 1,398,530 | Direct | |
| Aug 3, 2021 | Common Stock | PPurchaseAcquired | +875,000 | $17.00 | +$14,875,000 | 2,273,530 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2021 | Common Stock | CConversionDisposed | −1,323,530 | –F4 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The shares reported as purchased on July 30, 2021 were purchased in several transactions at actual purchase prices ranging from $16.00 to $16.2068 per share, in each case exclusive of any fees, commissions or other expenses. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
The shares of Issuer's preferred stock had no expiration date and were convertible at the holder's election into Issuer's common stock at a conversion ratio of 1-to-0.264706. The preferred stock automatically converted into shares of the Issuer's common stock, for no additional consideration, upon the closing of the Issuer's initial public offering.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.