SEC Form 4 · accession 0000899243-19-004398
TCR2 THERAPEUTICS INC. · TCRR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
China Molybdenum Co., Ltd.
10% Owner
Upnorth Investment Ltd
10% Owner
China Molybdenum (Hong Kong) Co Ltd
10% Owner
Period of report
Feb 19, 2019
Accepted (ET)
Feb 21, 2019 · 4:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001750019
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 19, 2019 | C | 322,902 | — | A | 322,902 | I | By Upnorth Investment Limited |
| Common StockF3,F2 | Feb 19, 2019 | C | 1,614,517 | — | A | 1,937,419 | I | By Upnorth Investment Limited |
| Common StockF2 | Feb 19, 2019 | P | 200,000 | $15.00 | A | 2,137,419 | I | By Upnorth Investment Limited |
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 StockF1,F2 | — | Feb 19, 2019 | C | 2,000,000 | D | — | — | Common Stock | 322,902 | 0 | I |
| Series B Preferred StockF3,F2 | — | Feb 19, 2019 | C | 10,000,000 | D | — | — | Common Stock | 1,614,517 | 0 | I |
Explanation of responses
- F1Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 ("Common Stock"), on a 6.1938:1 basis upon the closing of the Issuer's initial public offering.
- F2The reported securities are owned directly by Upnorth Investment Limited. Each of the reporting persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.
- F3Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a 6.1938:1 basis upon the closing of the Issuer's initial public offering.