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*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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2. Issuer Name and Ticker or Trading Symbol
RAPID MICRO BIOSYSTEMS, INC.
[ RPID ]
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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) 05/27/2022
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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 |
05/27/2022 |
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P |
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618 |
A |
$5.2626
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1,983,022 |
I |
See Footnotes
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Common Stock |
05/27/2022 |
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P |
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882 |
A |
$5.2626
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2,829,692 |
I |
See Footnotes
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Common Stock |
05/31/2022 |
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P |
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8,241 |
A |
$5.114
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1,991,263 |
I |
See Footnotes
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Common Stock |
05/31/2022 |
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P |
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11,759 |
A |
$5.114
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2,841,451 |
I |
See Footnotes
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Common Stock |
06/01/2022 |
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P |
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19,414 |
A |
$4.7598
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2,010,677 |
I |
See Footnotes
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Common Stock |
06/01/2022 |
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P |
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27,703 |
A |
$4.7598
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2,869,154 |
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*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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1. Name and Address of Reporting Person*
111 WEST 33RD STREET, SUITE 1910 |
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(Street)
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Explanation of Responses: |
Remarks: |
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KENNEDY LEWIS MANAGEMENT LP, By: KLM GP LLC, its general partner, Name: /s/ Anthony Pasqua, Title: Chief Operating Officer |
06/01/2022 |
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KENNEDY LEWIS CAPITAL PARTNERS MASTER FUND II LP, By: Kennedy Lewis GP II LLC, its general partner, By: Kennedy Lewis Investment Holdings II LLC, its managing member, Name: /s/ Anthony Pasqua, Title: Authorized Person |
06/01/2022 |
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KENNEDY LEWIS GP II LLC, By: Kennedy Lewis Investment Holdings II LLC, its managing member, Name: /s/ Anthony Pasqua, Title: Authorized Person |
06/01/2022 |
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KENNEDY LEWIS INVESTMENT HOLDINGS II LLC, Name: /s/ Anthony Pasqua, Title: Authorized Person |
06/01/2022 |
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KENNEDY LEWIS CAPITAL PARTNERS MASTER FUND III LP, By: Kennedy Lewis GP III LLC, its general partner, By: Kennedy Lewis Investment Holdings II LLC, its managing member, Name: /s/ Anthony Pasqua, Title: Authorized Person |
06/01/2022 |
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KENNEDY LEWIS GP III LLC, By: Kennedy Lewis Investment Holdings II LLC, its managing member, Name: /s/ Anthony Pasqua, Title: Authorized Person |
06/01/2022 |
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KENNEDY LEWIS INVESTMENT MANAGEMENT LLC, Name: /s/ Anthony Pasqua, Title: Chief Operating Officer |
06/01/2022 |
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KLM GP LLC, Name: /s/ Anthony Pasqua, Title: Authorized Person |
06/01/2022 |
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DARREN RICHMAN, Name: /s/ Darren Richman |
06/01/2022 |
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DAVID CHENE, Name: /s/ David Chene |
06/01/2022 |
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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. |
Exhibit 99.1
Form 4 Joint Filer Information
Name: Kennedy Lewis Management LP
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: Kennedy Lewis Capital Partners Master
Fund II LP
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: Kennedy Lewis GP II LLC
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: Kennedy Lewis Investment Holdings II
LLC
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: Kennedy Lewis Capital Partners Master
Fund III LP
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: Kennedy Lewis GP III LLC
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: KLM GP LLC
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: Kennedy Lewis Investment Management
LLC
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: Darren Richman
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022
Name: David Chene
Address: 111 West 33rd Street, Suite 1910
New York, NY 10120
Date of Event Requiring Statement: 05/27/2022