# EDGAR Filing Document

**Accession Number:** 0001874962
**File Stem:** 0001104659-23-009464
**Filing Date:** 2023-2
**Character Count:** 9223
**Document Hash:** 034400f503950f75d07d8116d5b20b7c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-009464.hdr.sgml**: 20230201

**ACCESSION NUMBER**: 0001104659-23-009464

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230201

**DATE AS OF CHANGE**: 20230201

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Appelhans Dannielle
- **CENTRAL INDEX KEY:** 0001874962

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38586
- **FILM NUMBER:** 23578616

**MAIL ADDRESS:**
- **STREET 1:** C/O RUBIUS THERAPEUTICS, INC.
- **STREET 2:** 399 BINNEY STREET, SUITE 300
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Rubius Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001709401
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 042688109
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 399 BINNEY STREET, SUITE 300
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139
- **BUSINESS PHONE:** 617-679-9600

**MAIL ADDRESS:**
- **STREET 1:** 399 BINNEY STREET, SUITE 300
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139

## Ex-24

**Exhibit 24**

**SUBSTITUTE POWER OF ATTORNEY**

Pursuant to the terms of the Power of Attorney (the "Power of Attorney") previously executed by Dannielle Appelhans (the "PoA Party"), the undersigned, Maiken Keson-Brookes, was appointed a true and lawful attorney-in-fact, with full power of substitution by certain officers and directors of Rubius Therapeutics, Inc. (the "Company"), including the PoA Party, to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers therein granted, as fully to all intents and purposes as the PoA Party might or could do if personally present, with full power of substitution or revocation, thereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of such Power of Attorney and the rights and powers therein granted.

In accordance with the authority granted under the Power of Attorney, including the power of substitution, the undersigned, Maiken Keson-Brookes, hereby appoints each of Jennifer Kamocsay and Jaimy Mauricio as a substitute attorney-in-fact, on behalf of the PoA Party, to exercise and execute all of the powers granted or conferred in the applicable Power of Attorney. By his or her signature as an attorney-in-fact to this Substitute Power of Attorney, each of Jennifer Kamocsay and Jaimy Mauricio accepts such appointment and agrees to assume from the undersigned any and all duties and responsibilities attendant to his or her capacity as an attorney-in-fact. This Substitute Power of Attorney shall remain in full force and effect until the earlier of (i) such time as this Substitute Power of Attorney is revoked by the undersigned, Maiken Keson-Brookes, or by the PoA Party, (ii) such time as this Substitute Power of Attorney is superseded by a new substitute power of attorney regarding the purposes outlined herein dated as of a later date, or (iii) such time as the PoA Party is no longer required to file any Form 3, 4 or 5, Schedule 13D, Schedule 13G or any amendments thereto with respect to such PoA Party's holdings of and transactions in securities issued by the Company.

IN WITNESS WHEREOF, the undersigned have executed this Substitute Power of Attorney this 15<sup>th</sup> day of November, 2022.

---

| |
|:---|
| /s/ Maiken Keson-Brookes |
| Maiken Keson-Brookes |
| Attorney-in-Fact |

---

I accept this appointment and substitution:

---

| |
|:---|
| /s/ Jennifer Kamocsay |
| Jennifer Kamocsay |

---

I accept this appointment and substitution:

---

| |
|:---|
| /s/ Jaimy Mauricio |
| Jaimy Mauricio |

---

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>Appelhans Dannielle<br><sub>(Last) (First) (Middle)</sub><br>C/O VERDOLINO & LOWEY, P.C.<br>124 WASHINGTON ST.<br><sub>(Street)</sub><br>FOXBOROUGH, MA 02035<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CEO and President_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Rubius Therapeutics, Inc. [ RUBY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-31 |  | M |  | 7500 | A | <sup>(1)</sup> | 14263 | D |  |
| Common Stock | 2023-02-01 |  | S |  | 3878<sup>(2)</sup> | D | $0.25 | 10385 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(1)</sup> | 2023-01-31 |  | M |  |  | 7500 | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 7500 | $0 | 22500 | D |  |

---

### Footnotes:

(1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

(2) Represents the number of shares required to be sold to cover the statutory tax withholding obligations in connection with the vesting of the restricted stock units listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of minimum statutory tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary sale by the reporting person.

(3) The shares underlying the restricted stock units vest in four equal annual installments beginning on January 31, 2023.

**Remarks:**
Exhibit List - Exhibit 24 - Power of Attorney

**Signature:** /s/ Jennifer Kamocsay, attorney-in-fact  
**Date:** 2023-02-01

### Remarks:

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.**