[Form 4] Sana Biotechnology, Inc. Insider Trading Activity

Filing Impact

(Low)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Oxford Square Capital Corp. (NASDAQ: OXSQ) has released its 2025 Definitive Proxy Statement ahead of the 20 August 2025 Annual Meeting at its Greenwich, CT headquarters.

Proposals: (1) election of Barry A. Osherow as the sole Class II director (term expiring 2028); (2) ratification of PricewaterhouseCoopers LLP (PwC) as independent auditor for FY-2025.
Board structure: five-member, staggered board; 60% classified as independent. Steven P. Novak continues as Independent Chairman.
Ownership: Directors & officers collectively hold 6.53 million shares (8.6 % of 76.0 million outstanding). CEO Jonathan H. Cohen and affiliated entities own 3.0 %, making him the largest individual insider.
Auditor fees: PwC audit fees declined to $947,995 in 2024 from $1.08 million in 2023; no tax or other fees were incurred.
Compensation: Independent directors earn a base $90,000 plus committee/board chair retainers and meeting fees; no equity awards are granted.
Governance highlights: Four fully independent committees (Audit, Valuation, Nominating & Governance, Compensation) oversee risk, valuation, and advisor oversight. The Investment Advisory Agreement with Oxford Square Management was renewed on 22 April 2025 after the board reviewed fees, performance and adviser profitability.
Quorum & voting: record date 25 June 2025; majority of outstanding shares (38.0 million) required for a quorum. Brokers may vote only on Proposal 2.

The board unanimously recommends voting FOR both proposals. No other substantive matters are scheduled.

Oxford Square Capital Corp. (NASDAQ: OXSQ)電� 2025雲� 8鞗� 20鞚� 攴鸽Μ雼堨箻(旖旊劋韹办环) 氤胳偓鞐愳劀臧滌禍霅橂姅 2025雲� 鞐半 欤检＜齑濏殞毳� 鞎炿憪瓿� 2025雲� 頇曥爼鞙勳瀯鞛� 靹彪獏鞚� 氚滍憸頄堨姷雼堧嫟.

鞎堦贝: (1) Barry A. Osherow毳� 雼弲 Class II 鞚挫偓搿� 靹犾瀯(鞛勱赴 2028雲勱箤歆€); (2) 2025 須岅硠鞐半弰霃呺 臧愳偓鞚胳溂搿� PricewaterhouseCoopers LLP(PwC) 鞀轨澑.
鞚挫偓須� 甑劚: 5氇呾溂搿� 甑劚霅� 雼硠鞝� 鞛勱赴鞚挫偓須�; 60%臧€ 霃呺 鞚挫偓搿� 攵勲霅�. Steven P. Novak電� 霃呺 鞚挫偓須� 鞚橃灔鞙茧 瓿勳啀鞛 欷�.
靻岇湢甑“: 鞚挫偓氚� 鞛勳洂霌れ澊齑� 653毵� 欤�(8.6%鞚� 7,600毵� 欤� 欷�) 氤挫湢. CEO Jonathan H. Cohen瓿� 甏€霠� 氩曥澑鞚� 3.0% 氤挫湢, 斓滊寑臧滌澑雮措秬鞛愳瀯.
臧愳偓靾橃垬耄�: PwC 臧愳偓靾橃垬耄岆姅 2023雲� 108毵� 雼煬鞐愳劀 2024雲� 947,995雼煬搿� 臧愳唽; 靹戈笀霕愲姅旮绊儉靾橃垬耄岆姅氚滌儩頃橃 鞎婌潓.
氤挫垬: 霃呺 鞚挫偓電� 旮半掣 90,000雼煬鞕€ 鞙勳洂須�/鞚挫偓須� 鞚橃灔靾橂嫻氚� 須岇潣彀胳劃靾橂嫻鞚� 氚涭溂氅�, 欤检嫕氤挫儊鞚€ 鞐嗢潓.
歆€氚瓣惮臁� 欤检殧靷暛: 雱� 臧滌潣鞕勳爠霃呺 鞙勳洂須�(臧愳偓, 韽夑皜, 歆€氇� 氚� 歆€氚瓣惮臁�, 氤挫儊)臧€ 鞙勴棙, 韽夑皜氚� 鞛愲 臧愲弲鞚� 雼措嫻. Oxford Square Management鞕€鞚� 韴瀽鞛愲 瓿勳暯鞚€ 2025雲� 4鞗� 22鞚� 鞚挫偓須岅皜靾橃垬耄�, 靹标臣氚� 鞛愲靷� 靾橃澋靹膘潉瓴€韱犿暅頉� 臧膘嫚霅�.
鞝曥”靾� 氚� 韴憸: 旮半鞚检潃 2025雲� 6鞗� 25鞚�; 鞝曥”靾橂姅氚滍枆欤检嫕瓿茧皹靾�(3,800毵� 欤�) 頃勳殧. 欷戧皽鞚胳潃鞎堦贝 2鞐� 雽€頃挫劀毵� 韴憸臧€電�.

鞚挫偓須岆姅霊� 鞎堦贝氇憪鞐� 雽€頃� 毵岇灔鞚检箻搿� 彀劚 韴憸毳� 甓岅碃頃╇媹雼�. 雼るジ欷戩殧頃� 鞎堦贝鞚€ 鞓堨爼霅橃柎鞛堨 鞎婌姷雼堧嫟.

Oxford Square Capital Corp. (NASDAQ: OXSQ) a publi茅 sa d茅claration de procuration d茅finitive pour 2025 avant l'assembl茅e annuelle du 20 ao没t 2025, qui se tiendra 脿 son si猫ge de Greenwich, CT.

Propositions : (1) 茅lection de Barry A. Osherow en tant que seul administrateur de Classe II (mandat jusqu'en 2028) ; (2) ratification de PricewaterhouseCoopers LLP (PwC) en tant qu'auditeur ind茅pendant pour l'exercice 2025.
Structure du conseil : conseil de cinq membres avec mandats 茅chelonn茅s ; 60 % sont consid茅r茅s comme ind茅pendants. Steven P. Novak reste pr茅sident ind茅pendant.
Propri茅t茅 : les administrateurs et dirigeants d茅tiennent collectivement 6,53 millions d'actions (8,6 % des 76,0 millions en circulation). Le PDG Jonathan H. Cohen et les entit茅s affili茅es poss猫dent 3,0 %, faisant de lui le principal initi茅 individuel.
Honoraires de l'auditeur : les frais d'audit de PwC ont diminu茅脿 947 995 $ en 2024 contre 1,08 million en 2023 ; aucun frais fiscaux ou autres n'ont 茅t茅 engag茅s.
R茅mun茅ration : les administrateurs ind茅pendants per莽oivent une r茅mun茅ration de base de 90 000 $ plus des indemnit茅s pour pr茅sidence de comit茅/conseil et participation aux r茅unions ; aucune attribution d'actions n'est accord茅e.
Points forts de la gouvernance : quatre comit茅s enti猫rement ind茅pendants (Audit, 脡valuation, Nomination & Gouvernance, R茅mun茅ration) supervisent les risques, l'茅valuation et le contr么le des conseillers. Le contrat de conseil en investissement avec Oxford Square Management a 茅t茅 renouvel茅 le 22 avril 2025 apr猫s examen par le conseil des frais, performances et rentabilit茅 du conseiller.
Quorum et vote : date d'enregistrement le 25 juin 2025 ; la majorit茅 des actions en circulation (38,0 millions) est requise pour le quorum. Les courtiers ne peuvent voter que sur la proposition 2.

Le conseil recommande 脿 l'unanimit茅 de voter POUR les deux propositions. Aucune autre question substantielle n'est pr茅vue.

Insights

TL;DR鈥僐outine proxy with staggered board; independent oversight appears adequate; no material governance red flags.

The filing is a standard annual proxy focused on electing one director and ratifying PwC. A majority-independent board with four fully independent committees satisfies NYSE and 1940 Act requirements. Renewal of the advisory contract followed a detailed review of fee levels, adviser profitability and comparative performance, providing transparency. Auditor fees fell 12 % YoY, signalling modest cost discipline. However, the staggered structure limits annual board accountability and only 8.6 % insider ownership may dilute alignment. Overall governance practices meet prevailing BDC norms and should not materially alter investor risk.

TL;DR鈥僋o market-moving items; proposals are routine and unlikely to impact OXSQ share value.

From a portfolio perspective the proxy contains no changes to dividend policy, leverage targets or investment strategy. The sole director nominee brings middle-market credit experience but does not alter board composition meaningfully. Auditor re-ratification is expected and audit fees remain below 1 % of net assets, posing negligible earnings impact. With no share-based compensation or share-issuance proposals, dilution risk is unchanged. Investors should view this filing as procedural; attention stays on portfolio performance and future distributions rather than governance adjustments.

鞎堦贝: (1) Barry A. Osherow毳� 雼弲 Class II 鞚挫偓搿� 靹犾瀯(鞛勱赴 2028雲勱箤歆€); (2) 2025 須岅硠鞐半弰霃呺 臧愳偓鞚胳溂搿� PricewaterhouseCoopers LLP(PwC) 鞀轨澑.
鞚挫偓須� 甑劚: 5氇呾溂搿� 甑劚霅� 雼硠鞝� 鞛勱赴鞚挫偓須�; 60%臧€ 霃呺 鞚挫偓搿� 攵勲霅�. Steven P. Novak電� 霃呺 鞚挫偓須� 鞚橃灔鞙茧 瓿勳啀鞛 欷�.
靻岇湢甑“: 鞚挫偓氚� 鞛勳洂霌れ澊齑� 653毵� 欤�(8.6%鞚� 7,600毵� 欤� 欷�) 氤挫湢. CEO Jonathan H. Cohen瓿� 甏€霠� 氩曥澑鞚� 3.0% 氤挫湢, 斓滊寑臧滌澑雮措秬鞛愳瀯.
臧愳偓靾橃垬耄�: PwC 臧愳偓靾橃垬耄岆姅 2023雲� 108毵� 雼煬鞐愳劀 2024雲� 947,995雼煬搿� 臧愳唽; 靹戈笀霕愲姅旮绊儉靾橃垬耄岆姅氚滌儩頃橃 鞎婌潓.
氤挫垬: 霃呺 鞚挫偓電� 旮半掣 90,000雼煬鞕€ 鞙勳洂須�/鞚挫偓須� 鞚橃灔靾橂嫻氚� 須岇潣彀胳劃靾橂嫻鞚� 氚涭溂氅�, 欤检嫕氤挫儊鞚€ 鞐嗢潓.
歆€氚瓣惮臁� 欤检殧靷暛: 雱� 臧滌潣鞕勳爠霃呺 鞙勳洂須�(臧愳偓, 韽夑皜, 歆€氇� 氚� 歆€氚瓣惮臁�, 氤挫儊)臧€ 鞙勴棙, 韽夑皜氚� 鞛愲 臧愲弲鞚� 雼措嫻. Oxford Square Management鞕€鞚� 韴瀽鞛愲 瓿勳暯鞚€ 2025雲� 4鞗� 22鞚� 鞚挫偓須岅皜靾橃垬耄�, 靹标臣氚� 鞛愲靷� 靾橃澋靹膘潉瓴€韱犿暅頉� 臧膘嫚霅�.
鞝曥”靾� 氚� 韴憸: 旮半鞚检潃 2025雲� 6鞗� 25鞚�; 鞝曥”靾橂姅氚滍枆欤检嫕瓿茧皹靾�(3,800毵� 欤�) 頃勳殧. 欷戧皽鞚胳潃鞎堦贝 2鞐� 雽€頃挫劀毵� 韴憸臧€電�.

Propositions : (1) 茅lection de Barry A. Osherow en tant que seul administrateur de Classe II (mandat jusqu'en 2028) ; (2) ratification de PricewaterhouseCoopers LLP (PwC) en tant qu'auditeur ind茅pendant pour l'exercice 2025.
Structure du conseil : conseil de cinq membres avec mandats 茅chelonn茅s ; 60 % sont consid茅r茅s comme ind茅pendants. Steven P. Novak reste pr茅sident ind茅pendant.
Propri茅t茅 : les administrateurs et dirigeants d茅tiennent collectivement 6,53 millions d'actions (8,6 % des 76,0 millions en circulation). Le PDG Jonathan H. Cohen et les entit茅s affili茅es poss猫dent 3,0 %, faisant de lui le principal initi茅 individuel.
Honoraires de l'auditeur : les frais d'audit de PwC ont diminu茅脿 947 995 $ en 2024 contre 1,08 million en 2023 ; aucun frais fiscaux ou autres n'ont 茅t茅 engag茅s.
R茅mun茅ration : les administrateurs ind茅pendants per莽oivent une r茅mun茅ration de base de 90 000 $ plus des indemnit茅s pour pr茅sidence de comit茅/conseil et participation aux r茅unions ; aucune attribution d'actions n'est accord茅e.
Points forts de la gouvernance : quatre comit茅s enti猫rement ind茅pendants (Audit, 脡valuation, Nomination & Gouvernance, R茅mun茅ration) supervisent les risques, l'茅valuation et le contr么le des conseillers. Le contrat de conseil en investissement avec Oxford Square Management a 茅t茅 renouvel茅 le 22 avril 2025 apr猫s examen par le conseil des frais, performances et rentabilit茅 du conseiller.
Quorum et vote : date d'enregistrement le 25 juin 2025 ; la majorit茅 des actions en circulation (38,0 millions) est requise pour le quorum. Les courtiers ne peuvent voter que sur la proposition 2.

Le conseil recommande 脿 l'unanimit茅 de voter POUR les deux propositions. Aucune autre question substantielle n'est pr茅vue.

07/08/2025 - 04:17 PM

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Bishop Hans Edgar

(Last)

(First)

(Middle)

C/O SANA BIOTECHNOLOGY, INC.

188 EAST BLAINE STREET, SUITE 400

(Street)

SEATTLE

98102

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Sana Biotechnology, Inc. [ SANA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
07/07/2025

4. 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 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	07/07/2025		A		7,842⁽¹⁾	A	$0.00	5,828,955	D

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Consists of fully vested restricted stock units.

Remarks:

	/s/ Bernard J. Cassidy, Attorney-in-Fact for Hans Edgar Bishop	07/08/2025
	** 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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Source:

AG真人官方