SEC Filing - Cartesian Therapeutics, Inc

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person^*

Donohue Ann K.

(Last)

(First)

(Middle)

65 GROVE STREET

(Street)

WATERTOWN

02472

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
05/27/2021

3. Issuer Name and Ticker or Trading Symbol
SELECTA BIOSCIENCES INC [ SELB ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP Finance

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	4,187	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Employee Stock Option (right to buy)	⁽¹⁾	03/22/2027	Common Stock	5,100	10.89	D
Employee Stock Option (right to buy)	⁽²⁾	06/15/2027	Common Stock	1,108	17.47	D
Employee Stock Option (right to buy)	⁽³⁾	06/11/2028	Common Stock	10,000	12.46	D
Employee Stock Option (right to buy)	⁽⁴⁾	01/06/2029	Common Stock	25,000	2.6	D
Employee Stock Option (right to buy)	⁽⁵⁾	10/06/2029	Common Stock	44,000	1.75	D
Employee Stock Option (right to buy)	⁽⁶⁾	01/01/2030	Common Stock	15,000	2.3	D
Employee Stock Option (right to buy)	⁽⁷⁾	01/03/2031	Common Stock	27,000	2.99	D
Restricted Stock Units	⁽⁸⁾	⁽⁸⁾	Common Stock	4,250	⁽⁹⁾	D

Explanation of Responses:

1. This option is fully vested.

2. This option is fully vested.

3. This option vested as to 25% on June 10, 2019. The remainder of the underlying shares vest in 36 equal monthly installments thereafter.

4. This option vested as to 25% on January 7, 2020. The remainder of the underlying shares vest in 36 equal monthly installments thereafter.

5. This option vested as to 50% on October 7, 2020, and will be fully vested on October 7, 2021, on which date the other 50% will vest.

6. This option vested as to 25% on January 2, 2021. The remainder of the underlying shares vest in 36 equal monthly installments thereafter.

7. This option vests as to 25% on January 4, 2022. The remainder of the underlying shares vest in 36 equal monthly installments thereafter.

8. This restricted stock unit will vest 25% on January 4, 2022, and will vest in three additional equal annual installments on the anniversary of the grant date, so as to be fully vested on January 4, 2025. The restricted stock units have no expiration date.

9. Each restricted stock unit represents a contingent right to receive one share of common stock.

Remarks:

	Ann K. Donohue	06/03/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.