SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Invus Public Equities, L.P.

(Last) (First) (Middle)
750 LEXINGTON AVENUE 30TH FLOOR

(Street)
NEW YORK NY 10022

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Omega Therapeutics, Inc. [ OMGA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
07/30/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/30/2021 P 75,000 A $16.1379(1) 75,000 D(2)(3)
Common Stock 08/03/2021 C 1,323,530 A (4) 1,398,530 D(2)(3)
Common Stock 08/03/2021 P 875,000 A $17 2,273,530 D(2)(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series C Convertible Preferred Stock (4) 08/03/2021 C 5,000,000 (4) (4) Common Stock 1,323,530 (4) 0 D(2)(3)
1. Name and Address of Reporting Person*
Invus Public Equities, L.P.

(Last) (First) (Middle)
750 LEXINGTON AVENUE 30TH FLOOR

(Street)
NEW YORK NY 10022

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Artal International S.C.A.

(Last) (First) (Middle)
VALLEY PARK, 44
RUE DE LA VALLEE

(Street)
LUXEMBOURG N4 L-2661

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Artal International Management S.A.

(Last) (First) (Middle)
VALLEY PARK, 44
RUE DE LA VALLEE

(Street)
LUXEMBOURG N4 L-2661

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Artal Group S.A.

(Last) (First) (Middle)
VALLEY PARK, 44
RUE DE LA VALLEE

(Street)
LUXEMBOURG N4 L-2661

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Westend S.A.

(Last) (First) (Middle)
VALLEY PARK, 44
RUE DE LA VALLEE

(Street)
LUXEMBOURG N4 L-2661

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Wittouck Amaury

(Last) (First) (Middle)
VALLEY PARK, 44
RUE DE LA VALLEE

(Street)
LUXEMBOURG N4 L-2661

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Stichting Administratiekantoor Westend

(Last) (First) (Middle)
CLAUDE DEBUSSYLAAN, 46
1082 MD AMSTERDAM

(Street)
THE NETHERLANDS P7

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Artal Treasury Ltd

(Last) (First) (Middle)
P.O. BOX 165
SUITE 4, BOROUGH HOUSE, RUE DU PRE

(Street)
ST. PETER PORT GY1 3JJ

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Invus Public Equities Advisors, LLC

(Last) (First) (Middle)
750 LEXINGTON AVENUE 30TH FLOOR

(Street)
NEW YORK NY 10022

(City) (State) (Zip)
Explanation of Responses:
1. The shares reported as purchased on July 30, 2021 were purchased in several transactions at actual purchase prices ranging from $16.00 to $16.2068 per share, in each case exclusive of any fees, commissions or other expenses. The price reported reflects the weighted average purchase price for the transactions. The Reporting Persons undertake to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
2. The shares are held directly by Invus Public Equities, L.P. The general partner of Invus Public Equities, L.P. is Invus Public Equities Advisors, LLC. Artal Treasury Ltd is the managing member of Invus Public Equities Advisors, LLC. Artal Treasury Ltd is a wholly owned subsidiary of the Geneva branch of Artal International S.C.A. The managing partner of Artal International S.C.A. is Artal International Management S.A., which is a wholly owned subsidiary of Artal Group S.A. Westend S.A. is the parent company of Artal Group, S.A., and the majority stockholder of Westend S.A. is Stichting Administratiekantoor Westend ("Stichting").
3. (Continued from Footnote 2) Mr. Amaury Wittouck is the sole member of the board of Stichting. Each of the Reporting Persons, other than Invus Public Equities L.P., disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such reporting person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Exchange Act, each of the reporting persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Exchange Act or for any other purpose.
4. The shares of Issuer's preferred stock had no expiration date and were convertible at the holder's election into Issuer's common stock at a conversion ratio of 1-to-0.264706. The preferred stock automatically converted into shares of the Issuer's common stock, for no additional consideration, upon the closing of the Issuer's initial public offering.
Remarks:
Invus Public Equities, L.P., By: Invus Public Equities Advisors, LLC, its General Partner, By: /s/ Raymond Debbane, President 08/03/2021
Invus Public Equities Advisors, LLC, By: /s/ Raymond Debbane, President 08/03/2021
Artal Treasury Ltd, By: /s/ Keith Le Poidevin, Director 08/03/2021
Artal International S.C.A., By: Artal International Management S.A., its Managing Partner, By: /s/ Anne Goffard, Managing Director 08/03/2021
Artal International Management S.A., By: /s/ Anne Goffard, Managing Director 08/03/2021
Artal Group S.A., By: /s/ Anne Goffard, Authorized Person 08/03/2021
Westend S.A., By: /s/ Anne Goffard, Director 08/03/2021
Stichting Administratiekantoor Westend, By: /s/ Amaury Wittouck, Sole Member of the Board 08/03/2021
/s/ Amaury Wittouck 08/03/2021
** Signature of Reporting Person Date
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