09/03/2025 | Press release | Distributed by Public on 09/03/2025 18:44
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WIESENTHAL ROBERT S C/O STRATA CRITICAL MEDICAL, INC. 31 HUDSON YARDS, 14TH FLOOR NEW YORK, NY 10001 |
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/s/ Melissa M. Tomkiel, Attorney-in-fact for Robert S. Wiesenthal | 09/03/2025 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents a grant of Restricted Stock Units ("RSUs"), which will be settled in shares of the Issuer's common stock upon vesting. 100% of the RSUs will become vested on the date of the Issuer's 2026 Annual Meeting of Stockholders. |
(2) | Effective as of September 2, 2025, the terms of 886,886 unvested RSUs granted to the Reporting Person by the Issuer on November 9, 2022 and originally reported by the Reporting Person in Table I of a Form 4 filed on November 14, 2022 and 33,591 unvested RSUs granted to the Reporting Person by the Issuer on December 16, 2021 and originally reported by the Reporting Person in Table I of a Form 4 on December 20, 2021, were amended by the Issuer's board of directors to make them subject to an additional performance-related vesting condition. As a result of such amendment, the shares of the Issuer's common stock underlying such unvested RSUs will no longer be included in the securities beneficially owned by the Reporting Person as reflected in column 5 of Table I. Upon satisfaction of the relevant performance-related vesting condition, the Reporting Person will again report the acquisition of such shares on a Form 4. |