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
*
Geffon Steven
(Last)
(First)
(Middle)
C/O 600 CORPORATE POINTE, SUITE 320
(Street)
CULVER CITY
CA
90230
(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)
Director
10% Owner
X
Officer (give title below)
Other (specify below)
Chief Commercial Officer
3. Date of Earliest Transaction (Month/Day/Year)
10/06/2021
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
Earn-Out Right
(1)
(2)
10/06/2021
A
115,079
(1)
(2)
(1)
(2)
Common Stock
115,079
(1)
(2)
115,079
D
Stock Option
$
10.05
10/07/2021
A
1,017,351
(3)
10/07/2031
Common Stock
1,017,351
$
0
1,017,351
D
Explanation of Responses:
1. On October 6, 2021, pursuant to the Agreement and Plan of Merger, dated May 6, 2021 (the "Merger Agreement"), LifeSci Acquisition II Corp. (the "Issuer"), LifeSci Acquisition II Merger Sub, Inc. ("Merger Sub") and Science 37, Inc. ("Legacy Science 37") consummated a business combination (the "Business Combination"), in which Merger Sub merged with and into Legacy Science 37 with Legacy Science 37 surviving such merger as a wholly-owned subsidiary of the Issuer, which subsequently changed its name to "Science 37 Holdings, Inc."
2. Pursuant to the terms of the Merger Agreement, former holders of Legacy Science 37 common stock and former holders of Legacy Science 37 options are entitled to receive their pro rata share of up to 12,500,000 additional shares of the Issuer's Common Stock (the "Earn-Out Shares") if, within the three-year period following the closing date of the Merger Agreement, the volume weighted average price of Issuer's Common Stock equals or exceeds certain thresholds. Of the Earn-Out Shares, forty percent will be issued if the volume weighted average price of the Common Stock equals or exceeds $15.00 per share for a period of at least 20 days out of 30 consecutive trading days, and the remaining sixty percent will be issued if the volume weighted average price of the Issuer's Common Stock equals or exceeds $20.00 per share for a period of at least 20 days out of 30 consecutive trading days. The issuance of such shares are subject to certain adjustments set forth in the Merger Agreement.
3. The Stock Option shall vest and become exercisable as to 25% of the shares of Common Stock subject thereto on October 7, 2022, and the remaining underlying shares will vest in equal monthly installments until fully vested on October 7, 2025, subject to the grantee's continued service as a Service Provider through each applicable vesting date.
/s/ Christine Pellizzari, Attorney-in-Fact for Steven Geffon
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