SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person*
Senderowicz Adrian

(Last) (First) (Middle)
C/O CONSTELLATION PHARMACEUTICALS, INC.
215 FIRST STREET, SUITE 200

(Street)
CAMBRIDGE MA 02142

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/18/2018
3. Issuer Name and Ticker or Trading Symbol
CONSTELLATION PHARMACEUTICALS INC [ CNST ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Medical Officer
5. 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 Beneficially Owned
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)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) (1) 07/10/2027 Common Stock 145,335 $5.51 D
Stock Option (right to buy) (2)(3) 07/10/2027 Common Stock 72,667 $5.51 D
Stock Option (right to buy) (4) 03/05/2028 Common Stock 37,696 $7.6 D
Stock Option (right to buy) (5) 04/08/2028 Common Stock 37,696 $8.04 D
Explanation of Responses:
1. This option was granted on July 11, 2017, and has vested as to 25% of the shares underlying the option as of July 10, 2018 with the remainder vesting quarterly through July 10, 2021.
2. This option was granted on July 11, 2017 and is scheduled to vest as to 100% of the shares underlying the option on July 10, 2023, subject to accelerated vesting as to: 4,542 shares upon the satisfaction of an objective clinical milestone, which milestone has been achieved, 4,542 shares upon the satisfaction of an objective clinical milestone, which milestone has been achieved, 9,083 shares upon the satisfaction of an objective clinical milestone, 27,250 shares upon the satisfaction of an objective clinical or regulatory milestone and 27,250 shares upon the satisfaction of an objective clinical or regulatory milestone.
3. (Continued from footnote 2) If and when one or more of these performance milestones are achieved, the number of shares associated with such milestone will convert to time-based vesting from July 10, 2017, with shares underlying the option vesting in equal quarterly installments until July 10, 2021. Upon the commencement of trading of the Issuer's Common Stock on the Nasdaq Stock Market, 63,584 shares of Common Stock will begin vesting in equal quarterly installments until the four-year anniversary of the commencement of trading of the Issuer's Common Stock on the Nasdaq Stock Market. The remaining 9,083 shares will continue to vest as described above.
4. This option was granted on March 6, 2018. The shares underlying the option are scheduled to vest in equal quarterly installments through March 6, 2022.
5. This option was granted on April 9, 2018. The shares underlying the option are scheduled to vest in equal quarterly installments through April 9, 2022.
Remarks:
Exhibit Index: 24.1 Power of Attorney
/s/ Emma Reeve, as attorney-in-fact for Adrian Senderowicz 07/18/2018
** 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.
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