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RAPID MICRO BIOSYSTEMS, INC. — Director's Dealing 2021
Jul 14, 2021
33936_dirs_2021-07-14_855cf6bb-c2a6-4809-b1d7-093601b5bc26.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: RAPID MICRO BIOSYSTEMS, INC. (RPID)
CIK: 0001380106
Period of Report: 2021-07-14
Reporting Person: Kollender Richard S (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 58109 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $1.00 | 2027-10-11 | Class A Common Stock (14571) | Direct | |
| Stock Option (Right to Buy) | $1.00 | 2028-07-17 | Class A Common Stock (80863) | Direct | |
| Stock Option (Right to Buy) | $1.00 | 2027-10-11 | Class A Common Stock (63143) | Direct | |
| Stock Option (Right to Buy) | $0.75 | 2026-08-11 | Class A Common Stock (1681) | Direct | |
| Stock Option (Right to Buy) | $0.75 | 2026-08-11 | Class A Common Stock (1827) | Direct | |
| Series A1 Preferred Stock | $ | Class A Common Stock (924759) | Indirect | ||
| Series B1 Preferred Stock | $ | Class A Common Stock (226180) | Indirect | ||
| Series C1 Preferred Stock | $ | Class A Common Stock (164145) | Indirect | ||
| Class A Common Stock Warrant | $298.96 | 2022-03-09 | Class A Common Stock (2456) | Indirect | |
| Class A Common Stock Warrant | $298.96 | 2026-03-04 | Class A Common Stock (865) | Indirect | |
| Class A Common Stock Warrant | $298.96 | 2026-09-29 | Class A Common Stock (1736) | Indirect | |
| Series A1 Warrant | $0.01 | 2027-07-24 | Series A1 Preferred Stock (410015) | Indirect | |
| Series B1 Warrant | $0.01 | 2028-01-17 | Series B1 Preferred Stock (64516) | Indirect | |
| Series B1 Warrant | $0.01 | 2027-12-06 | Series B1 Preferred Stock (64516) | Indirect |
Footnotes
F1: These shares are held directly by Quaker Bioventures II, L.P. The Reporting Person is a managing director of Quaker Bioventures Capital II, L.P., the parent of Quaker Bioventures II, L.P., and may be deemed to beneficially hold the shares.
F2: The option is fully vested and exercisable.
F3: The Series A1 Preferred Stock, the Series B1 Preferred Stock and the Series C1 Preferred Stock (collectively, the "Preferred Stock") are convertible upon closing of the initial public offering and have no expiration date. Each share of Preferred Stock shall be automatically converted into 0.20 shares of the Issuer's Class A Common Stock upon the closing of the Issuer's initial public offering.
F4: Immediately exercisable.