Key facts
- This page summarizes James C. Sullivan's Form 4 filing for enGene Holdings Inc. (ENGN).
- 2 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 02 Nov 2023, 16:09.
James C. Sullivan - 31 Oct 2023 Form 4 Insider Report for enGene Holdings Inc. (ENGN)
- Reporting relationship
- Chief Scientific Officer
- Issuer ticker
- ENGN
- Reported as of
- 31 Oct 2023
- Net transaction value
- $0
- Reporting owner signature
- /s/ James C. Sullivan
Source evidence
Original filing metadata and source links for verification.
3 source fields
Reporting owner
1 detail
Filing notes and source
Key filing fact
James C. Sullivan filed Form 4 for enGene Holdings Inc. (ENGN) on 02 Nov 2023.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ENGN
transaction
Derivative
Stock Option (Right to Buy)
Award
- Transaction value
- Shares
- +88,901
- Change %
- Price
- Shares after
- 88,901
- Date
- 18 Mar 2022
- Ownership
- Direct
- Underlying class
- Common Shares
- Underlying amount
- 88,901
- Exercise price
- $0.8800
- Footnotes
- F1, F2, F3
ENGN
transaction
Derivative
Stock Option (Right to Buy)
Award
- Transaction value
- Shares
- +118,509
- Change %
- Price
- Shares after
- 118,509
- Date
- 07 Jul 2023
- Ownership
- Direct
- Underlying class
- Common Shares
- Underlying amount
- 118,509
- Exercise price
- $4.25
- Footnotes
- F1, F2, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 4 footnotes
Footnote F1
On October 31, 2023 (the "Closing Date"), the parties to the Business Combination Agreement, dated as of May 16, 2023 (as amended, the "Business Combination Agreement"), by and among Forbion European Acquisition Corp., a Cayman Islands exempted company and a special purpose acquisition corporation ("FEAC"), enGene Inc., a corporation incorporated under the laws of Canada ("enGene"), and enGene Holdings Inc. (the "Issuer" or "New enGene"), completed the transactions contemplated thereby, pursuant to which (i) each share of FEAC was exchanged on a one for one basis for a share of New enGene, and (ii) each share of enGene was exchanged for 0.1804799669 shares of New enGene, and each of FEAC and enGene became wholly-owned subsidiaries of New enGene. The transactions contemplated by the Business Combination Agreement are referred to herein as the "Business Combination".
Footnote F2
Pursuant to the terms of the Business Combination, the shareholders of enGene received 0.1804799669 common shares of the Issuer ("Common Shares") for each share of enGene held by them immediately prior to the Closing Date. Upon the Closing of the Business Combination, all outstanding enGene options were assumed by New enGene. enGene options that were issued or available to be issued as of May 16, 2023 were accelerated and become vested and exercisable (if not previously vested and exercisable). The issuance of the securities to the Reporting Person was approved by the Issuer's board of directors in the manner contemplated by Rule 16b-3 under the Securities Exchange Act of 1934, as amended.
Footnote F3
This option is fully vested and exercisable. This option was received in the Business Combination in exchange for an option to purchase 492,582 common shares of enGene.
Footnote F4
4. This option was granted on July 7, 2023 on the condition it is not exercisable unless and until (i) the Business Combination Agreement has been completed and (ii) an effective registration statement for the New enGene shares underlying such granted options has been filed. This option was received in the Business Combination in exchange for an option to purchase 656,637 common shares of enGene. At the grant date, 30% of the option vested immediately, with the remaining portion to vest equally over 48 months.