Statement of Changes in Beneficial Ownership (4)
January 12 2022 - 5:44PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Neill Andrew R |
2. Issuer Name and Ticker or Trading Symbol
Shattuck Labs, Inc.
[
STTK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O SHATTUCK LABS, INC., 500 W. 5TH STREET, SUITE 1200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/10/2022 |
(Street)
AUSTIN, TX 78701
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/10/2022 | | A | | 33325 (1) | A | $0.00 | 109491 | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $7.43 | 1/10/2022 | | A | | 66650 | | (2) | 1/10/2032 | Common Stock | 66650 | $0.00 | 66650 | D | |
Explanation of Responses: |
(1) | Consists of 33,325 restricted stock units, which will vest in four equal annual installments beginning on January 10, 2023, subject to the Reporting Person's continued service to the Issuer. |
(2) | This option represented a right to purchase a total of 66,650 shares of the Issuer's common stock, one quarter of which will vest on January 10, 2023, with the remaining three quarters vesting in equal monthly installments through January 10, 2026, subject to the Reporting Person's continued service to the Issuer. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Neill Andrew R C/O SHATTUCK LABS, INC. 500 W. 5TH STREET, SUITE 1200 AUSTIN, TX 78701 |
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| Chief Financial Officer |
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Signatures
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/s/ Erin Ator Thomson, Attorney-in-fact for Andrew R. Neill | | 1/12/2022 |
**Signature of Reporting Person | Date |
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