AI assistant
AstraZeneca PLC — Director's Dealing 2018
Oct 3, 2018
5229_dirs_2018-10-02_8d3bbe30-eb77-4958-a853-087305c7b9f4.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Entasis Therapeutics Holdings Inc. (ETTX)
CIK: 0001724344
Period of Report: 2018-09-28
Reporting Person: ASTRAZENECA PLC (10% Owner)
Reporting Person: ASTRAZENECA AB (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-09-28 | Common Stock | C | 1918185 | — | Acquired | 1918189 | Indirect |
| 2018-09-28 | Common Stock | P | 246666 | $15.00 | Acquired | 2164855 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-09-28 | Series A Preferred Stock | $ | C | 33499900 | Disposed | Common Stock (1616166) | Indirect |
Footnotes
F1: This number includes 302,019 shares of Common Stock received upon the conversion of the Issuer's Series A Preferred Stock as payment of accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018.
F2: Each share of Series A Preferred Stock automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.
F3: All of these securities are owned by AstraZeneca AB, which is a wholly-owned subsidiary of AstraZeneca PLC. AstraZeneca PLC may be deemed to beneficially own the shares held by AstraZeneca AB, but disclaims beneficial ownership except to the extent of its pecuniary interest therein, if any. The principal business address of AstraZeneca AB is SE-151 85 Sodertalje, Sweden.