Form 4 for RNAC Cartesian Therapeutics, Inc.
Accepted 2024-04-10 00:00:00 ET · period of report 2024-04-08 · accession 0001453687-24-000067 · 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 | 2024-04-10 | 2024-04-08 | RNAC | Singer Michael | Dir | M - OptEx | — | +110.2K | 119.8K | +1,147% | — |
| DMI | 2024-04-10 | 2024-04-08 | RNAC | Singer Michael | Dir | M - OptEx | — | +643.6K | 383.8K | New | — |
| DMI | 2024-04-10 | 2024-04-08 | RNAC | Singer Michael | Dir | M - OptEx | — | -19.3K | 0 | -100% | — |
| D | 2024-04-10 | 2024-04-08 | RNAC | Singer Michael | Dir | M - OptEx | — | -3,305 | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-04-08 | M | A | 110,151 | — | 119,754 | D by trust | — | — | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F2) On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. (F3) Shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse is a trustee of this trust. |
| 2 | Common | Common Stock | 2024-04-08 | M | A | 94,568 | — | 96,219 | I as custodian | — | — | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F2) On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. (F8) The shares are held for SS, the child of the reporting person, through a custodial account established pursuant to the UTMA for which the reporting person serves as custodian. |
| 3 | Common | Common Stock | 2024-04-08 | M | A | 94,568 | — | 96,219 | I | — | — | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F2) On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. |
| 4 | Common | Common Stock | 2024-04-08 | M | A | 14,535 | — | 14,788 | I as custodian | — | — | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F2) On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. (F7) The shares are held for LS, the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian. |
| 5 | Common | Common Stock | 2024-04-08 | M | A | 7,005 | — | 7,127 | I by spouse | — | — | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F2) On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. (F6) Shares are held by the reporting person's spouse. |
| 6 | Common | Common Stock | 2024-04-08 | M | A | 55,746 | — | 56,719 | I by trust | — | — | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F2) On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. (F5) Shares are held in a trust for which the reporting person is a beneficiary. The reporting person's spouse is a trustee of this trust. |
| 7 | Common | Common Stock | 2024-04-08 | M | A | 377,208 | — | 383,796 | I by trust | — | — | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F2) On April 4, 2024, the issuer effected the Reverse Stock Split. The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. (F4) Shares are held in a trust for which the reporting person is a beneficiary. The reporting person is a trustee of this trust. |
| 8 | Derivative | Series A Non-Voting Convertible Preferred Stock | 2024-04-08 | M | D | 2,837.05 | — | 0 | I | — · — to — | 94,568 Common Stock | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. |
| 9 | Derivative | Series A Non-Voting Convertible Preferred Stock | 2024-04-08 | M | D | 2,837.05 | — | 0 | I as custodian | — · — to — | 94,568 Common Stock | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F8) The shares are held for SS, the child of the reporting person, through a custodial account established pursuant to the UTMA for which the reporting person serves as custodian. |
| 10 | Derivative | Series A Non-Voting Convertible Preferred Stock | 2024-04-08 | M | D | 436.07 | — | 0 | I as custodian | — · — to — | 14,535 Common Stock | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F7) The shares are held for LS, the child of the reporting person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the reporting person serves as custodian. |
| 11 | Derivative | Series A Non-Voting Convertible Preferred Stock | 2024-04-08 | M | D | 1,672.39 | — | 0 | I by trust | — · — to — | 55,746 Common Stock | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F5) Shares are held in a trust for which the reporting person is a beneficiary. The reporting person's spouse is a trustee of this trust. |
| 12 | Derivative | Series A Non-Voting Convertible Preferred Stock | 2024-04-08 | M | D | 11,316.26 | — | 0 | I by trust | — · — to — | 377,208 Common Stock | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F4) Shares are held in a trust for which the reporting person is a beneficiary. The reporting person is a trustee of this trust. |
| 13 | Derivative | Series A Non-Voting Convertible Preferred Stock | 2024-04-08 | M | D | 3,304.56 | — | 0 | D by trust | — · — to — | 110,151 Common Stock | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F3) Shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse is a trustee of this trust. |
| 14 | Derivative | Series A Non-Voting Convertible Preferred Stock | 2024-04-08 | M | D | 210.15 | — | 0 | I by spouse | — · — to — | 7,005 Common Stock | (F1) On March 27, 2024, the issuer held a special meeting of stockholders (the "Special Meeting"). At the Special Meeting, the stockholders of the issuer approved a 1-for-30 reverse stock split (the "Reverse Stock Split") of the issuer's common stock ("Common Stock") and the conversion of the issuer's Series A Non-Voting Convertible Preferred Stock ("Series A Preferred Stock") into shares of Common Stock. On April 8, 2024, the conversion of the majority of the shares of Series A Preferred Stock occurred automatically (the "Automatic Conversion"). The remaining shares of Series A Preferred Stock remain subject to certain beneficial ownership limitations described in the issuer's filings with the Securities and Exchange Commission. At the time of the Automatic Conversion, all of the reporting person's shares of Series A Preferred Stock converted into shares of Common Stock. (F6) Shares are held by the reporting person's spouse. |