SEC Form PRE 14A filed by Carisma Therapeutics Inc.
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
the Securities Exchange Act of 1934 (Amendment No. )
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President, Chief Executive Officer and Director
, 2025
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Stockholders to be Held on , 2025:
Forward the email from your broker, or attach an image of your legal proxy, to [email protected]
Computershare
Carisma Therapeutics Inc. Legal Proxy
P.O. Box 43001
Providence, RI 02940-3001
ADOPTION AND APPROVAL OF AN AMENDMENT TO OUR RESTATED CERTIFICATE OF INCORPORATION TO EFFECT A REVERSE STOCK SPLIT
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Number of Shares
Before Reverse Stock Split as of May 31, 2025 |
| |
Reverse Split
Ratio of 1-for-10 |
| |
Reverse Split
Ratio of 1-for-30 |
| |
Reverse Split
Ratio of 1-for-50 |
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Number of Shares of Common Stock Authorized
|
| | | | 350,000,000 | | | | | | 350,000,000 | | | | | | 350,000,000 | | | | | | 350,000,000 | | |
Number of Shares of Common Stock Issued and Outstanding
|
| | | | 41,788,096 | | | | | | 4,178,809 | | | | | | 1,392,936 | | | | | | 835,761 | | |
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Number of Shares
Before Reverse Stock Split as of May 31, 2025 |
| |
Reverse Split
Ratio of 1-for-10 |
| |
Reverse Split
Ratio of 1-for-30 |
| |
Reverse Split
Ratio of 1-for-50 |
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Number of Shares of Common Stock Reserved for Issuance Pursuant to Outstanding Options Under and Outside of Our Equity Incentive Plans
|
| | | | 6,473,531 | | | | | | 647,353 | | | | | | 215,784 | | | | | | 129,470 | | |
Number of Shares of Common Stock Reserved and Available for Future Issuance Under Our Equity Incentive Plans and Our Employee Stock Purchase Plan
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| | | | 6,016,632 | | | | | | 601,663 | | | | | | 200,554 | | | | | | 120,332 | | |
Number of Shares of Common Stock Reserved for Issuance Pursuant to the ATM Offering
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| | | | 238,156,678* | | | | | | 23,815,667 | | | | | | 7,938,555 | | | | | | 4,763,133 | | |
ADJOURNMENT PROPOSAL
Name of Beneficial Owner
|
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Number of Shares
Beneficially Owned |
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Percentage of
Shares Beneficially Owned (%) |
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5% Stockholders | | | | | | | | | | | | | |
ModernaTX, Inc.(1)
|
| | | | 5,059,338 | | | | | | 12.11% | | |
HealthCap VII L.P.(2)
|
| | | | 3,398,248 | | | | | | 8.13% | | |
Entities affiliated with IPG(3)
|
| | | | 2,713,232 | | | | | | 6.49% | | |
Wellington Life Sciences V GmbH & Co. KG(4)
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| | | | 2,297,546 | | | | | | 5.50% | | |
SymBiosis II, LLC(5)
|
| | | | 2,215,877 | | | | | | 5.30% | | |
Named Executive Officers and Directors | | | | | | | | | | | | | |
Sohanya Cheng(6)
|
| | | | 8,600 | | | | | | * | | |
John Hohneker, M.D.(7)
|
| | | | 35,475 | | | | | | * | | |
Steven Kelly(8)
|
| | | | 1,634,390 | | | | | | 3.76% | | |
Michael Klichinsky, Pharm.D., Ph.D.(9)
|
| | | | 983,833 | | | | | | 2.33% | | |
Richard Morris(10)
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| | | | 460,539 | | | | | | 1.09% | | |
Briggs Morrison, M.D.(11)
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| | | | 155,899 | | | | | | * | | |
David Scadden, M.D.(12)
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| | | | 12,900 | | | | | | * | | |
Marella Thorell(13)
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| | | | 12,900 | | | | | | * | | |
Sanford Zweifach(14)
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| | | | 215,865 | | | | | | * | | |
All current executive officers and directors as a group (9 persons)(15)
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| | | | 3,059,862 | | | | | | 6.90% | | |
3675 Market Street, Suite 401
Philadelphia, Pennsylvania 19104
Attention: Corporate Secretary
RESTATED CERTIFICATE OF INCORPORATION
OF
CARISMA THERAPEUTICS INC.
Title: President and Chief Executive Officer
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