SEC Form 4 · accession 0001104659-18-022462
Q32 Bio Inc. · QTTB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Scott M Rocklage
10% Owner
John D Diekman
10% Owner
5AM Partners IV, LLC
10% Owner
5AM Ventures IV, L.P.
10% Owner
5AM Co-Investors IV, L.P.
10% Owner
Andrew J. Schwab
10% Owner
Period of report
Apr 2, 2018
Accepted (ET)
Apr 4, 2018 · 6:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001661998
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 2, 2018 | C | 5,392,037 | $0.00 | A | 6,722,076 | I | See footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF2,F3 | — | Apr 2, 2018 | C | 4,204,502 | D | — | — | Common Stock | 4,204,502 | 0 | I |
| Series B Preferred StockF2,F3 | — | Apr 2, 2018 | C | 1,187,535 | D | — | — | Common Stock | 1,187,535 | 0 | I |
Explanation of responses
- F1Following the transactions reported herein, includes 6,453,195 shares of Common Stock held of record by 5AM Ventures IV, L.P. ("Ventures IV") and 268,881 shares of Common Stock held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV").
- F25AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV and Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
- F3Upon closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock was automatically converted into one share of the Issuer's common stock.