Barach Philip Alan's Form 4 filing
Celularity Inc (CELU) · filed Sep 25, 2026
- Accession no.
- 0001104659-26-111026
- Filed
- Sep 25, 2026, 4:57 PM ET
- Trade date
- Sep 23, 2026
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 5 derivative transactions. It was filed 2 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 |
|---|---|
| Barach Philip AlanCIK 0002106805 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 23, 2026 | Class A Common Stock | JOtherAcquired | +2,000,000 | –F1 | – | 2,000,000 | Indirect | |
| Sep 23, 2026 | Class A Common Stock | JOtherAcquired | +2,140,000 | –F4 | – | 2,140,000 | Indirect | |
| Sep 23, 2026 | Class A Common Stock | JOtherAcquired | +1,177,000 | –F4,F5 | – | 1,177,000 | Indirect | |
| Sep 23, 2026 | Class A Common Stock | JOtherAcquired | +1,457,765 | –F6 | – | 1,457,765 | Indirect | |
| Sep 23, 2026 | Class A Common Stock | JOtherAcquired | +1,457,765 | –F6,F7 | – | 1,457,765 | Indirect |
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
Represents the amendment and restatement on September 23, 2026 of an existing convertible note of the Issuer in which the applicable conversion price was reduced from $1.66 per share to $1.50 per share and the maturity date was extended from December 31, 2026 to September 23, 2028, as a result of which the number of shares issuable upon conversion of such note was increased from 1,807,229 to 2,000,000. No additional consideration was paid in connection with such amendment and restatement.
Referenced by the price of 1 transaction in Table II.
- F4
Represents shares of Class A Common Stock issuable upon the conversion of $3,210,000 in aggregate principal amount of convertible notes (the "September 2026 Notes") that the Reporting Person purchased from the Issuer for such an amount of cash on September 23, 2026.
Referenced by the price of 2 transactions in Table II.
- F5
Represents shares of Class A Common Stock issuable upon the exercise of 1,177,000 warrants that the Reporting Person obtained from the Issuer in connection with the issuance of the September 2026 Notes. No additional consideration was paid in connection with the issuance of such warrants.
Referenced by the price of 1 transaction in Table II.
- F6
Represents shares of Class A Common Stock issuable upon the conversion of up to $2,915,531 in aggregate principal amount of convertible notes (the "September 2027 Notes") that the Reporting Person has the option to purchase from the Issuer at any time until September 30, 2027. Such option is a contractual right granted by the Issuer in connection with the issuance of the September 2026 Notes for, which no additional consideration was paid.
Referenced by the price of 2 transactions in Table II.
- F7
Represents shares of Class A Common Stock issuable upon the exercise of up to 1,457,765 warrants that the Reporting Person has the option to obtain from the Issuer for in connection with the issuance of September 2027 Notes at any time until September 30, 2027. Such option is a contractual right granted by the Issuer in connection with the issuance of the September 2026 Notes for, which no additional consideration was paid.
Referenced by the price of 1 transaction in Table II.