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IMMUNIC, INC. — Director's Dealing 2014
Apr 16, 2014
10196_dirs_2014-04-16_d300cd71-f798-4fed-83a4-e365c0530fab.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: VITAL THERAPIES INC (VTL)
CIK: 0001280776
Period of Report: 2014-04-16
Reporting Person: CROXFORD PHILIP M (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16341 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Senior Convertible Preferred Stock | $ | Common Stock (7250) | Direct | ||
| Non-Qualified Stock Option (right to buy) | $8.00 | 2022-09-26 | Common Stock (33834) | Direct | |
| Non-Qualified Stock Option (right to buy) | $8.00 | 2023-06-30 | Common Stock (3750) | Direct | |
| Non-Qualified Stock Option (right to buy) | $8.00 | 2024-02-12 | Common Stock (1607) | Direct |
Footnotes
F1: Each share of Senior Convertible Preferred Stock is convertible at any time at the election of the Reporting Person and will automatically convert into one share of Common Stock immediately prior to the closing of the Registrant's initial public offering. There is no expiration date.
F2: This stock option was granted on September 26, 2012 and vests over four years. Subject to the optionee continuing to provide services, one forty-eighth of the shares subject to the option vest one month after the vesting commencement date of September 13, 2012, and an additional one forty-eighth of the shares vest at the end of each monthly period thereafter. The option is subject to an early exercise provision and is immediately exercisable.
F3: This stock option was granted on June 30, 2013 and vests over four years. Subject to the optionee continuing to provide services, one forty-eighth of the shares subject to the option vest one month after the vesting commencement date of June 30, 2013, and an additional one forty-eighth of the shares vest at the end of each monthly period thereafter.
F4: This stock option was granted on February 12, 2014 and vests over four years. Subject to the optionee continuing to provide services, one forty-eighth of the shares subject to the option vest one month after the vesting commencement date of February 3, 2014, and an additional one forty-eighth of the shares vest at the end of each monthly period thereafter.