Form 4 for CELU Celularity Inc

Accepted 2023-03-27 00:00:00 ET · period of report 2023-03-27 · accession 0000950170-23-010087 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2023-03-27	2023-03-27	CELU	Hariri Robert J	CEO, Dir	A - Grant	$0.83	+2.08M	10.16M	+26%	+$1.73M
D	2023-03-27	2023-03-27	CELU	Hariri Robert J	CEO, Dir	A - Grant	—	-2.08M	2.08M	-50%	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Class A Common Stock	2023-03-27	A	A	2,084,854	$0.83	10,159,850	D	—	—	(F1) On March 27, 2023, the Reporting Person purchased directly from the Issuer (i) 2,084,854 shares of the Issuer's Class A common stock at a price of $0.8343 per share, and (ii) a 5-year immediately exercisable warrant to purchase 2,084,854 shares of the Issuer's Class A common stock at an exercise price of $3.00, at a price of $0.125 per whole share underlying the warrant, or an aggregate purchase price of $2.0 million pursuant to a securities purchase agreement dated March 20, 2023. (F2) This includes 131,234 shares underlying restricted stock units subject to vesting.
2	Derivative	Warrants (Right to Buy)	2023-03-27	A	D	2,084,854	—	2,084,854	D	$3.00 · — to 2028-03-27	2,084,854 Class A Common Stock	(F1) On March 27, 2023, the Reporting Person purchased directly from the Issuer (i) 2,084,854 shares of the Issuer's Class A common stock at a price of $0.8343 per share, and (ii) a 5-year immediately exercisable warrant to purchase 2,084,854 shares of the Issuer's Class A common stock at an exercise price of $3.00, at a price of $0.125 per whole share underlying the warrant, or an aggregate purchase price of $2.0 million pursuant to a securities purchase agreement dated March 20, 2023.