SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
PMV Pharmaceuticals, Inc.
[ PMVP ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 06/07/2021
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
06/07/2021 |
|
S |
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3,291 |
D |
$33.62
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491,116 |
I |
See Footnotes
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Common Stock |
06/07/2021 |
|
S |
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4,564 |
D |
$33.62
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689,205 |
I |
See Footnotes
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Common Stock |
06/07/2021 |
|
S |
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4,946 |
D |
$33.62
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746,463 |
I |
See Footnotes
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Common Stock |
06/07/2021 |
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S |
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16,901 |
D |
$33.62
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2,584,736 |
I |
See Footnotes
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Common Stock |
06/07/2021 |
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S |
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1,019 |
D |
$33.62
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131,582 |
I |
See Footnotes
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Common Stock |
06/08/2021 |
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S |
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3,355 |
D |
$33.38
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487,761 |
I |
See Footnotes
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Common Stock |
06/08/2021 |
|
S |
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4,708 |
D |
$33.38
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684,497 |
I |
See Footnotes
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Common Stock |
06/08/2021 |
|
S |
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5,101 |
D |
$33.38
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741,362 |
I |
See Footnotes
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Common Stock |
06/08/2021 |
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S |
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17,664 |
D |
$33.38
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2,567,072 |
I |
See Footnotes
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Common Stock |
06/08/2021 |
|
S |
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896 |
D |
$33.38
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130,686 |
I |
See Footnotes
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
C/O EUCLIDEAN CAPITAL LLC |
160 FIFTH AVE, 9TH FL |
(Street)
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1. Name and Address of Reporting Person*
C/O EUCLIDEAN CAPITAL LLC |
160 FIFTH AVE, 9TH FL |
(Street)
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1. Name and Address of Reporting Person*
LEVEL 1, PALM GROVE HOUSE |
WICKHAM'S CAY |
(Street)
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1. Name and Address of Reporting Person*
C/O EUCLIDEAN CAPITAL LLC |
160 FIFTH AVE, 9TH FL |
(Street)
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1. Name and Address of Reporting Person*
LEVEL 1, PALM GROVE HOUSE |
WICKHAM'S CAY |
(Street)
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1. Name and Address of Reporting Person*
C/O EUCLIDEAN CAPITAL LLC |
160 FIFTH AVE, 9TH FL |
(Street)
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1. Name and Address of Reporting Person*
C/O EUCLIDEAN CAPITAL LLC |
160 FIFTH AVE, 9TH FL |
(Street)
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1. Name and Address of Reporting Person*
C/O EUCLIDEAN CAPITAL LLC |
160 FIFTH AVE, 9TH FL |
(Street)
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Explanation of Responses: |
Remarks: |
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/s/ Joseph Cosmai - Euclidean Capital LLC, By: Joseph Cosmai, Manager |
06/09/2021 |
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/s/ Joseph Cosmai - Greenland A LLC, By: Joseph Cosmai, Manager of Euclidean Capital LLC, its Manager |
06/09/2021 |
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/s/ Joseph Cosmai - Greenland FP LLC, By: Joseph Cosmai, Manager of Euclidean Capital LLC, its Manager |
06/09/2021 |
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/s/ Joseph Cosmai - Greenland NFP B Ltd., By: Joseph Cosmai, Manager of Euclidean Capital LLC, its Manager |
06/09/2021 |
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/s/ Joseph Cosmai - Greenland NFP LLC, By: Joseph Cosmai, Manager of Euclidean Capital LLC, its Manager |
06/09/2021 |
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/s/ Jane Malone - Symmetry Group Ltd., By: Jane Malone, Officer of H.T.M. Services Ltd., its Director |
06/09/2021 |
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/s/ Iona Gordon - Symmetry Group Ltd., By: Iona Gordon, Officer of H.T.M. Services Ltd., its Director |
06/09/2021 |
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/s/ Joseph Cosmai, as attorney-in-fact for Marilyn Simons |
06/09/2021 |
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/s/ Joseph Cosmai, as attorney-in-fact for Ashvin Chhabra |
06/09/2021 |
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/s/ Joseph Cosmai, as attorney-in-fact for James Simons |
06/09/2021 |
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** 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
4
(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. |
Power of Attorney
Know all by these presents, that the undersigned hereby makes,
constitutes and appoints each of Julia E. Herr and Joseph Cosmai, or either of
them acting singly, and with full power of substitution and re-substitution,
the undersigned's true and lawful attorney-in-fact (each of such persons and
their substitutes being referred to herein as the "Attorney-in-Fact"), with
full power to act for the undersigned and in the undersigned's name, place and
stead, in any and all capacities, to:
1. Prepare, execute, and submit to the Securities and Exchange
Commission ("SEC") a Form ID, including amendments thereto, and any other
documents necessary or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports required or
considered by the Attorney-in-Fact to be advisable under Section 13 or Section
16 of the Securities Exchange Act of 1934 (the "Exchange Act") or any rule or
regulation of the SEC;
2. Prepare, execute and submit to the SEC, and/or any national
securities exchange on which securities are listed any and all reports
(including any amendments thereto) the undersigned is required to file with
the SEC, or which the Attorney-in-Fact considers it advisable to file with the
SEC, under Section 13 or Section 16 of the Exchange Act or any rule or
regulation thereunder, or under Rule 144 under the Securities Act of 1933
("Rule 144"), with respect to the any security, including Forms 3, 4 and 5,
Schedules 13D and 13G, and Forms 144; and
3. Obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in equity securities
from any third party, including the issuer of such security and any brokers,
dealers, employee benefit plan administrators and trustees, and the
undersigned hereby authorizes any such third party to release any such
information to the Attorney-in-Fact.
The undersigned acknowledges that:
a) This Power of Attorney authorizes, but does not require, the
Attorney-in-Fact to act in his or her discretion on information provided to
such Attorney-in-Fact without independent verification of such information;
b) Any documents prepared or executed by the Attorney-in-Fact on
behalf of the undersigned pursuant to this Power of Attorney will be in such
form and will contain such information as the Attorney-in-Fact, in his or her
discretion, deems necessary or desirable;
c) The Attorney-in-Fact does not assume any liability for the
undersigned's responsibility to comply with the requirements of Section 13 or
Section 16 of the Exchange Act or Rule 144, any liability of the undersigned
for any failure to comply with such requirements, or any liability of the
undersigned for disgorgement of profits under Section 16(b) of the Exchange
Act; and
d) This Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations under Section
13 or Section 16 of the Exchange Act, including, without limitation, the
reporting requirements under Section 13 or Section 16 of the Exchange Act.
The undersigned hereby grants to the Attorney-in-Fact full power and
authority to do and perform each and every act and thing requisite, necessary
or advisable to be done in connection with the foregoing, as fully, to all
intents and purposes, as the undersigned might or could do in person, hereby
ratifying and confirming all that the Attorney-in-Fact, or his or her
substitute or substitutes, shall lawfully do or cause to be done by authority
of this Power of Attorney.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 4 or 5 or Schedules 13D or 13G
or Forms 144 with respect to the undersigned's holdings of and transactions in
securities, unless earlier revoked by the undersigned in a signed writing
delivered to the Attorney-in-Fact. This Power of Attorney revokes all previous
powers of attorney with respect to the subject matter of this Power of
Attorney.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney as of June 9, 2021.
/s/ Marilyn Simons
------------------
Signature
Power of Attorney
Know all by these presents, that the undersigned hereby makes,
constitutes and appoints each of Julia E. Herr and Joseph Cosmai, or either of
them acting singly, and with full power of substitution and re-substitution,
the undersigned's true and lawful attorney-in-fact (each of such persons and
their substitutes being referred to herein as the "Attorney-in-Fact"), with
full power to act for the undersigned and in the undersigned's name, place and
stead, in any and all capacities, to:
1. Prepare, execute, and submit to the Securities and Exchange
Commission ("SEC") a Form ID, including amendments thereto, and any other
documents necessary or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports required or
considered by the Attorney-in-Fact to be advisable under Section 13 or Section
16 of the Securities Exchange Act of 1934 (the "Exchange Act") or any rule or
regulation of the SEC;
2. Prepare, execute and submit to the SEC, and/or any national
securities exchange on which securities are listed any and all reports
(including any amendments thereto) the undersigned is required to file with
the SEC, or which the Attorney-in-Fact considers it advisable to file with the
SEC, under Section 13 or Section 16 of the Exchange Act or any rule or
regulation thereunder, or under Rule 144 under the Securities Act of 1933
("Rule 144"), with respect to the any security, including Forms 3, 4 and 5,
Schedules 13D and 13G, and Forms 144; and
3. Obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in equity securities
from any third party, including the issuer of such security and any brokers,
dealers, employee benefit plan administrators and trustees, and the
undersigned hereby authorizes any such third party to release any such
information to the Attorney-in-Fact.
The undersigned acknowledges that:
a) This Power of Attorney authorizes, but does not require, the
Attorney-in-Fact to act in his or her discretion on information provided to
such Attorney-in-Fact without independent verification of such information;
b) Any documents prepared or executed by the Attorney-in-Fact on
behalf of the undersigned pursuant to this Power of Attorney will be in such
form and will contain such information as the Attorney-in-Fact, in his or her
discretion, deems necessary or desirable;
c) The Attorney-in-Fact does not assume any liability for the
undersigned's responsibility to comply with the requirements of Section 13 or
Section 16 of the Exchange Act or Rule 144, any liability of the undersigned
for any failure to comply with such requirements, or any liability of the
undersigned for disgorgement of profits under Section 16(b) of the Exchange
Act; and
d) This Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations under Section
13 or Section 16 of the Exchange Act, including, without limitation, the
reporting requirements under Section 13 or Section 16 of the Exchange Act.
The undersigned hereby grants to the Attorney-in-Fact full power and
authority to do and perform each and every act and thing requisite, necessary
or advisable to be done in connection with the foregoing, as fully, to all
intents and purposes, as the undersigned might or could do in person, hereby
ratifying and confirming all that the Attorney-in-Fact, or his or her
substitute or substitutes, shall lawfully do or cause to be done by authority
of this Power of Attorney.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 4 or 5 or Schedules 13D or 13G
or Forms 144 with respect to the undersigned's holdings of and transactions in
securities, unless earlier revoked by the undersigned in a signed writing
delivered to the Attorney-in-Fact. This Power of Attorney revokes all previous
powers of attorney with respect to the subject matter of this Power of
Attorney.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney as of June 9, 2021.
/s/ James Simons
------------------
Signature
Power of Attorney
Know all by these presents, that the undersigned hereby makes,
constitutes and appoints each of Julia E. Herr and Joseph Cosmai, or either of
them acting singly, and with full power of substitution and re-substitution,
the undersigned's true and lawful attorney-in-fact (each of such persons and
their substitutes being referred to herein as the "Attorney-in-Fact"), with
full power to act for the undersigned and in the undersigned's name, place and
stead, in any and all capacities, to:
1. Prepare, execute, and submit to the Securities and Exchange
Commission ("SEC") a Form ID, including amendments thereto, and any other
documents necessary or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports required or
considered by the Attorney-in-Fact to be advisable under Section 13 or Section
16 of the Securities Exchange Act of 1934 (the "Exchange Act") or any rule or
regulation of the SEC;
2. Prepare, execute and submit to the SEC, and/or any national
securities exchange on which securities are listed any and all reports
(including any amendments thereto) the undersigned is required to file with
the SEC, or which the Attorney-in-Fact considers it advisable to file with the
SEC, under Section 13 or Section 16 of the Exchange Act or any rule or
regulation thereunder, or under Rule 144 under the Securities Act of 1933
("Rule 144"), with respect to the any security, including Forms 3, 4 and 5,
Schedules 13D and 13G, and Forms 144; and
3. Obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in equity securities
from any third party, including the issuer of such security and any brokers,
dealers, employee benefit plan administrators and trustees, and the
undersigned hereby authorizes any such third party to release any such
information to the Attorney-in-Fact.
The undersigned acknowledges that:
a) This Power of Attorney authorizes, but does not require, the
Attorney-in-Fact to act in his or her discretion on information provided to
such Attorney-in-Fact without independent verification of such information;
b) Any documents prepared or executed by the Attorney-in-Fact on
behalf of the undersigned pursuant to this Power of Attorney will be in such
form and will contain such information as the Attorney-in-Fact, in his or her
discretion, deems necessary or desirable;
c) The Attorney-in-Fact does not assume any liability for the
undersigned's responsibility to comply with the requirements of Section 13 or
Section 16 of the Exchange Act or Rule 144, any liability of the undersigned
for any failure to comply with such requirements, or any liability of the
undersigned for disgorgement of profits under Section 16(b) of the Exchange
Act; and
d) This Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations under Section
13 or Section 16 of the Exchange Act, including, without limitation, the
reporting requirements under Section 13 or Section 16 of the Exchange Act.
The undersigned hereby grants to the Attorney-in-Fact full power and
authority to do and perform each and every act and thing requisite, necessary
or advisable to be done in connection with the foregoing, as fully, to all
intents and purposes, as the undersigned might or could do in person, hereby
ratifying and confirming all that the Attorney-in-Fact, or his or her
substitute or substitutes, shall lawfully do or cause to be done by authority
of this Power of Attorney.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 4 or 5 or Schedules 13D or 13G
or Forms 144 with respect to the undersigned's holdings of and transactions in
securities, unless earlier revoked by the undersigned in a signed writing
delivered to the Attorney-in-Fact. This Power of Attorney revokes all previous
powers of attorney with respect to the subject matter of this Power of
Attorney.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney as of June 9, 2021.
/s/ Ashvin Chhabra
------------------
Signature