Sec Form 4 Filing - COHEN MARC A @ C4 Therapeutics, Inc. - 2020-10-06

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
COHEN MARC A
2. Issuer Name and Ticker or Trading Symbol
C4 Therapeutics, Inc. [ CCCC]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O C4 THERAPEUTICS, INC., 490 ARSENAL WAY, SUITE 200
3. Date of Earliest Transaction (MM/DD/YY)
10/06/2020
(Street)
WATERTOWN, MA02472
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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
Common Stock 10/06/2020 C 237,149 A 370,024 I See Footnote ( 2 )
Common Stock 10/06/2020 C 1,482,183 A 1,852,207 I See Footnote ( 2 )
Common Stock 10/06/2020 C 2,484,425 A 2,484,425 I By Cobro Ventures Opportunity Fund, L.P. ( 3 )
Common Stock 10/06/2020 P 5,030 A $ 19 5,030 D
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Series Seed Preferred Stock ( 1 ) 10/06/2020 C 2,000,000 ( 1 ) ( 1 ) Common Stock 237,149 $ 0 0 I See Footnote ( 2 )
Series A Preferred Stock ( 1 ) 10/06/2020 C 12,500,000 ( 1 ) ( 1 ) Common Stock 1,482,183 $ 0 0 I See Footnote ( 2 )
Series B Preferred Stock ( 1 ) 10/06/2020 C 20,952,403 ( 1 ) ( 1 ) Common Stock 2,484,425 $ 0 0 I By Cobro Ventures Opportunity Fund, L.P. ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
COHEN MARC A
C/O C4 THERAPEUTICS, INC.
490 ARSENAL WAY, SUITE 200
WATERTOWN, MA02472
X X
Signatures
/s/ Jolie M. Siegel, Attorney-in-Fact 10/06/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each share of Series Seed Preferred Stock, Series A Preferred Stock, and Series B Preferred Stock automatically converted into the Issuer's Common Stock on a 8.4335-to-one basis upon the closing of the Issuer's initial public offering on October 6, 2020 and had no expiration date.
( 2 )Shares held by Reporting Person as trustee of the Marc Andrew Cohen Revocable Trust. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
( 3 )Shares held by Cobro Ventures Opportunity Fund, L.P. ("Cobro Ventures"). The Reporting Person serves as a manager of Cobro Opportunity Fund GP, LLC, the general partner of Cobro Ventures, and may be deemed to exercise voting and investment power over the shares held by Cobro Ventures. The Reporting Person disclaims beneficial ownership of the shares held by Cobro Ventures except to the extent of his pecuniary interest therein.

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).
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