Initial Statement of Beneficial Ownership (3)
16 Março 2023 - 6:04PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Jordan Julie |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/7/2023
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3. Issuer Name and Ticker or Trading Symbol
Homology Medicines, Inc. [FIXX]
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(Last)
(First)
(Middle)
C/O HOMOLOGY MEDICINES, INC., ONE PATRIOTS PARK |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Medical Officer / |
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(Street)
BEDFORD, MA 01730
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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 | 2519 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (Right to Buy) | (1) | 6/2/2031 | Common Stock | 65000 | $6.53 | D | |
| Employee Stock Option (Right to Buy) | (2) | 2/24/2032 | Common Stock | 56000 | $2.71 | D | |
| Employee Stock Option (Right to Buy) | (3) | 3/2/2032 | Common Stock | 9000 | $3.59 | D | |
| Employee Stock Option (Right to Buy) | (4) | 2/23/2033 | Common Stock | 143000 | $1.60 | D | |
| Restricted Stock Units | (5) | (6) | Common Stock | 350 | (6) | D | |
| Restricted Stock Units | (7) | (6) | Common Stock | 5360 | (6) | D | |
| Restricted Stock Units | (8) | (6) | Common Stock | 1340 | (6) | D | |
| Restricted Stock Units | (9) | (6) | Common Stock | 24000 | (6) | D | |
| Explanation of Responses: |
| (1) | The option vests or has vested as to 25% of the underlying shares on May 3, 2022 and in 36 substantially equal monthly installments upon the Reporting Person's completion of each full month of service thereafter so that such option will become fully vested on May 3, 2025. |
| (2) | The option vests in 48 substantially equal monthly installments upon the Reporting Person's completion of each full month of service following January 1, 2022 so that such option will become fully vested on January 1, 2026. |
| (3) | The option vests in 48 substantially equal monthly installments upon the Reporting Person's completion of each full month of service following January 1, 2022 so that such option will become fully vested on January 1, 2026. |
| (4) | The option vests in 48 substantially equal monthly installments upon the Reporting Person's completion of each full month of service following January 1, 2023 so that such option will become fully vested on January 1, 2027. |
| (5) | The restricted stock units will vest and settle in full on August 2, 2023. |
| (6) | Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. The restricted stock units have no expiration date. |
| (7) | The restricted stock units will vest and settle as to one half of the restricted stock units on each of January 1, 2024 and January 1, 2025. |
| (8) | The restricted stock units will vest and settle as to one half of the restricted stock units on each of January 1, 2024 and January 1, 2025. |
| (9) | The restricted stock units will vest and settle as to one third of the restricted stock units on each of the first three anniversaries of January 1, 2023 so that such RSUs will become fully vested on January 1, 2026. |
Remarks:
Exhibit 24 - Power of Attorney. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Jordan Julie
C/O HOMOLOGY MEDICINES, INC.
ONE PATRIOTS PARK
BEDFORD, MA 01730 |
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| Chief Medical Officer |
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Signatures
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| /s/ Paul Alloway, Attorney-in-Fact for Julie Jordan | | 3/16/2023 |
| **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 control number. |
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