STOCK TITAN
  1. Home
  2. Sec-filings
  3. FDMT
  4. [Form 3] 4D Molecular Therapeutics, Inc. Initial Statement of Beneficial Ownership

FDMT insider files initial ownership; options at $22.69, $4.14

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

4D Molecular Therapeutics (FDMT) filed a Form 3 reporting the initial holdings of its VP, Finance and Controller as of 09/30/2025. The officer directly holds 45,662 shares of common stock. Derivative awards include stock options for 27,700 shares at $22.69 expiring 07/08/2034 and 7,056 shares at $4.14 expiring 03/05/2035. Restricted stock units total 13,850 and 3,528 shares, with vesting schedules beginning on June 20, 2025, subject to continued service.

Positive

  • None.

Negative

  • None.
Insider Gupta Ashoo
Role VP, Finance and Controller
Type Security Shares Price Value
holding Stock Option (Right to Buy) -- -- --
holding Stock Option (Right to Buy) -- -- --
holding Restricted Stock Units -- -- --
holding Restricted Stock Units -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Stock Option (Right to Buy) — 27,700 shares (Direct); Restricted Stock Units — 13,850 shares (Direct); Common Stock — 45,662 shares (Direct)
Footnotes (1)
  1. 25% of the shares subject to the stock option vest on the first anniversary measured from June 12, 2024 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest in thirty-six (36) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company. The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company. The shares underlying the restricted stock unit award shall vest as to 25% of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company. Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock. The shares underlying the restricted stock unit award shall vest as to 1/16th of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company.
Understanding Insider Trading Forms →
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
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Gupta Ashoo
(Last) (First) (Middle)
C/O 4D MOLECULAR THERAPEUTICS, INC.
5858 HORTON STREET #455
(Street)
EMERYVILLE CA 94608
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/30/2025 		3. Issuer Name and Ticker or Trading Symbol
4D Molecular Therapeutics, Inc. [ FDMT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP, Finance and Controller
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)
Common Stock 45,662 D
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) 07/08/2034 Common Stock 27,700 $22.69 D
Stock Option (Right to Buy) (2) 03/05/2035 Common Stock 7,056 $4.14 D
Restricted Stock Units (3) (3) Common Stock 13,850 (4) D
Restricted Stock Units (5) (5) Common Stock 3,528 (4) D
Explanation of Responses:
1. 25% of the shares subject to the stock option vest on the first anniversary measured from June 12, 2024 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest in thirty-six (36) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.
2. The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.
3. The shares underlying the restricted stock unit award shall vest as to 25% of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company.
4. Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock.
5. The shares underlying the restricted stock unit award shall vest as to 1/16th of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company.
/s/ Ashoo Gupta 10/10/2025
** 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 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.
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: View Original Filing on SEC EDGAR

FAQ

What did FDMT disclose in this Form 3?

It disclosed the initial beneficial ownership of its VP, Finance and Controller, including common stock, stock options, and RSUs as of 09/30/2025.

How many FDMT common shares does the officer own?

The officer directly owns 45,662 shares of common stock.

What stock options were reported by FDMT's officer?

Options for 27,700 shares at $22.69 expiring 07/08/2034, and 7,056 shares at $4.14 expiring 03/05/2035.

What RSUs are included in the filing for FDMT?

Restricted stock units of 13,850 and 3,528 shares, each RSU representing the right to receive one share upon vesting.

When do the RSUs begin vesting?

Vesting begins on June 20, 2025, following the schedules described for each grant.

What is the officer’s role at FDMT?

The reporting person serves as VP, Finance and Controller.