Create Alert
Sign Up
Sign In
Sign In
Sign Up
Contact Us
Careers
Terms and Conditions
Privacy
About Us
Home
Livefeed
Market Data
Companies
Filings
Ownership Search
Mutual Fund Search
Watchlist
My Watchlist
Create Alerts to view your Watchlist
Live Feed
Feed to the latest filings at the SEC
Type of Filers
All
Mutual Funds
Mutual 3 & ETFs
Mutual 2 & ETFs
Variable Insurance Products
Variable Insurance 1
Variable Insurance 3
Variable Insurance 4
Type of Forms
All
Annual Reports
10-K
10-K/A
18-K
20-F
20-F/A
24F-2NT
24F-2NT/A
40FR12B
MA/A
MA-I
MA-I/A
N-CSR
NSAR-B
NSAR-B/A
NT 10-K
TA-2/A
Quarterly Reports
10-Q
10-Q/A
N-Q
Proxy Statements
DEF 14 A
DEF 14C
DEFA14A
DEFC14A
DEFM14A
DFAN14A
N-PX/A
PRE 14 A
PRE 14C
PREC14A
PREM14A
PRER14A
PRRN14A
PX14A6G
Prospectus
425
POS AM
Current-Reports
8-K
8-K/A
Registrations
10-12B
10-12B/A
10-12G
10-12G/A
18-12B
18-12B/A
18-12G
18-12G/A
20FR12B
20FR12B/A
20FR12G
20FR12G/A
24F-2NT
24F-2NT/A
424A
424B1
424B2
424B3
424B4
424B5
424B7
485A24E
485BPOS
486BPOS
487
8-A12B
8-A12B/A
18-12G/A
8-A12G
8-A12G/A
DEL AM
F-1
F-1/A
F-1MEF
F-3
F-3/A
F-3DPOS
F-4
F-4/A
F-6
F-6/A
F-6 POS
N-1
N-14
N-14/A
N-1A
N-1/A
N-1A/A
N-2
N-2MEF
N-3
N-3/A
N-4
N-4/A
N-5
N-54A
N-54A/A
N-5/A
N-8A
N-8A/A
N-8B-2
N-8B-2/A
N-8B-4
N-8B-4/A
POS462B
POS462C
POS 8C
POS AM
POS AMI
POS EX
S-11
S-11/A
S-11MEF
S-1/A
S-1MEF
S-20
S-20/A
S-3
S-3/A
S-3D
S-3DPOS
S-3MEF
S-4EF
S-4MEF
S-4 POS
S-6
S-6/A
S-8
S-8 POS
Date Range
All
One Day Prior
Two Day Prior
Three Day Prior
SCIENCE 37 HOLDINGS, INC.
Date Filed :
Oct 12, 2021
View Exhibits
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
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5
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
*
Faulkner Robert C.
(Last)
(First)
(Middle)
C/O REDMILE GROUP, LLC
ONE LETTERMAN DRIVE, BLDG D SUITE D3-300
(Street)
SAN FRANCISCO
CA
94129
(City)
(State)
(Zip)
2. Issuer Name
and
Ticker or Trading Symbol
Science 37 Holdings, Inc.
[
SNCE
]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X
Director
10% Owner
Officer (give title below)
Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
10/07/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X
Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
2. Transaction Date (Month/Day/Year)
2A. Deemed Execution Date, if any (Month/Day/Year)
3. Transaction Code (Instr. 8)
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code
V
Amount
(A) or (D)
Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
3A. Deemed Execution Date, if any (Month/Day/Year)
4. Transaction 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 (Month/Day/Year)
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: 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)
$
10.05
10/07/2021
A
41,363
(4)
10/07/2031
Common Stock
41,363
$
0.00
41,363
D
(1)
(2)
(3)
Explanation of Responses:
1. The equity award was granted to Robert Faulkner in connection with his service as a member of the board of directors of the Issuer. Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), was elected to the board of the Issuer as a representative of Redmile. Pursuant to the policies of Redmile, Mr. Faulkner holds this equity award as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the equity award to Redmile. Mr. Faulkner disclaims beneficial ownership of the equity award, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
2. The equity award may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the equity award except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3. Mr. Faulkner was elected to the board of directors of the Issuer as a representative of Redmile. As a result, Redmile and Mr. Green are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.
4. The shares subject to the stock option will vest in full upon the earlier of (i) October 7, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, subject to Robert Faulkner's continued service on the board of directors of the Issuer through the applicable vesting date.
/s/ Robert Faulkner
10/12/2021
** 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.
Stock View
Indices
by TradingView