4//SEC Filing
Lim Kok Thay 4
Accession 0000905148-24-003388
CIK 0001752828other
Filed
Dec 18, 7:00 PM ET
Accepted
Dec 19, 9:19 PM ET
Size
9.1 KB
Accession
0000905148-24-003388
Insider Transaction Report
Form 4
Celularity IncCELU
Lim Kok Thay
10% Owner
Transactions
- Other
Warrants (Right to Buy)
2024-07-15$1.25/sh+1,350,000$1,687,500→ 1,350,000 total(indirect: By Resorts World Inc Pte. Ltd.)Exercise: $2.99From: 2024-07-15Exp: 2029-07-15→ Class A Common Stock (1,350,000 underlying)
Holdings
- 2,531
Class A Common Stock
Genting Berhad
10% Owner
Transactions
- Other
Warrants (Right to Buy)
2024-07-15$1.25/sh+1,350,000$1,687,500→ 1,350,000 total(indirect: By Resorts World Inc Pte. Ltd.)Exercise: $2.99From: 2024-07-15Exp: 2029-07-15→ Class A Common Stock (1,350,000 underlying)
Holdings
- 2,531
Class A Common Stock
Footnotes (4)
- [F1]This amount reflects Mr. Lim's direct ownership of the Issuer's Class A Common Stock, as adjusted for the 1-for-10 reverse stock split the Issuer effected on February 28, 2024 (the "Reverse Stock Split"). The Reporting Persons filed a Form 4 on January 17, 2024, prior to the Reverse Stock Split, which incorrectly reported that Mr. Lim directly owned 36,145 shares of Class A Common Stock and did not account for the 1,084 shares of Class A Common Stock (as adjusted for the Reverse Stock Split) that Mr. Lim disposed of on June 14, 2023, as reported in the Form 4/A filed by Mr. Lim on June 30, 2023.
- [F2]Pursuant to the terms of the governing form of warrant, the exercise price of these Tranche 2 Warrants (as defined in the Form 4 filed by the Reporting Persons on January 17, 2024) was set at $2.988 per share on July 15, 2024, and accordingly these Tranche 2 Warrants became "derivative securities" (as such term is defined in Rule 16a-1(c) under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) and reportable for purposes of Section 16 of the Exchange Act at that time.
- [F3]These numbers have been adjusted to reflect the Reverse Stock Split.
- [F4]These warrants are held by RWI. Genting Berhad indirectly holds 50% of RWI with the balance 50% indirectly held by Mr. Lim. Each of Genting Berhad and Mr. Lim disclaims beneficial ownership over these securities except to the extent of its or his pecuniary interest therein.
Documents
Issuer
Celularity Inc
CIK 0001752828
Entity typeother
Related Parties
1- filerCIK 0001470308
Filing Metadata
- Form type
- 4
- Filed
- Dec 18, 7:00 PM ET
- Accepted
- Dec 19, 9:19 PM ET
- Size
- 9.1 KB