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Vor Biopharma Inc. — Director's Dealing 2021
Feb 10, 2021
33479_dirs_2021-02-09_1b01e3b2-f184-4912-934a-8b08ce399d16.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Vor Biopharma Inc. (VOR)
CIK: 0001817229
Period of Report: 2021-02-09
Reporting Person: 5AM Ventures VI, L.P. (10% Owner)
Reporting Person: 5AM Partners VI, LLC (10% Owner)
Reporting Person: 5AM Opportunities I, L.P. (10% Owner)
Reporting Person: 5AM Opportunities I (GP), LLC (10% Owner)
Reporting Person: Schwab Andrew J. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-09 | Common Stock | C | 3308822 | — | Acquired | 3308822 | Indirect |
| 2021-02-09 | Common Stock | C | 1414026 | — | Acquired | 4722848 | Indirect |
| 2021-02-09 | Common Stock | P | 111111 | $18.00 | Acquired | 4833959 | Indirect |
| 2021-02-09 | Common Stock | C | 1414026 | — | Acquired | 1414026 | Indirect |
| 2021-02-09 | Common Stock | P | 444444 | $18.00 | Acquired | 1858470 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-09 | Series A-2 Preferred Stock | $ | C | 45000000 | Disposed | Common Stock (3308822) | Indirect | |
| 2021-02-09 | Series B Preferred Stock | $ | C | 19230768 | Disposed | Common Stock (1414026) | Indirect | |
| 2021-02-09 | Series B Preferred Stock | $ | C | 19230768 | Disposed | Common Stock (1414026) | Indirect |
Footnotes
F1: Each share of Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock upon the closing
of the Issuer's initial public offering for no additional consideration, on a 13.6 for-one basis, and had no expiration date.
F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI
and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by
Ventures VI, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.
F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the
managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership
of the shares of Common Stock held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.