3/A: Initial statement of beneficial ownership of securities
Published on
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/15/2021 |
3. Issuer Name and Ticker or Trading Symbol
CASTLE BIOSCIENCES INC [ CSTL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 04/15/2021 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
|---|---|---|---|
| Common Stock | 2,827 | D |
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock option (right to buy) | (1) | 07/20/2027 | Common Stock | 5,742 | 2.36 | D | |
| Stock option (right to buy) | (2) | 05/09/2028 | Common Stock | 17,432 | 2.39 | D | |
| Stock option (right to buy) | (3) | 03/12/2029 | Common Stock | 24,610 | 3.38 | D | |
| Stock option (right to buy) | (4) | 12/12/2029 | Common Stock | 35,000 | 29.5 | D | |
| Stock option (right to buy) | (5) | 08/03/2030 | Common Stock | 30,000 | 41.36 | D | |
| Stock option (right to buy) | (6) | 12/09/2030 | Common Stock | 29,000 | 59.16 | D | |
| Restricted Stock Units | (7) | (7) | Common Stock | 7,000 | (8) | D | |
| Explanation of Responses: |
| 1. 25% of the 11,484 shares originally subject to the option vested on July 21, 2018, and the remaining shares vest in 36 equal monthly installments thereafter. |
| 2. 25% of the 24,610 shares originally subject to the option vested on May 10, 2019, and the remaining shares vest in 36 equal monthly installments thereafter. |
| 3. 25% of the shares vested on March 13, 2020, and the remaining shares vest in 36 equal monthly installments thereafter. |
| 4. 25% of the shares vested on December 13, 2020, and the remaining shares vest in 36 equal monthly installments thereafter. |
| 5. 25% of the shares shall vest on August 4, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter. |
| 6. 25% of the shares shall vest on December 10, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter. |
| 7. The Restricted Stock Units ("RSUs") vest in four equal annual installments beginning on December 10, 2021. |
| 8. Each RSU represents the right to receive one share of the Issuer's Common Stock. |
| Remarks: |
| This amendment is being filed solely to attach the Power of Attorney exhibit. |
| /s/ Greg Acosta, Attorney-in-fact | 04/15/2021 | |
| ** 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 5 (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.