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Neurogene Inc. — Director's Dealing 2014
Mar 6, 2014
33497_dirs_2014-03-06_a3a6f355-e102-4c35-8628-0a96009f4269.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: AQUINOX PHARMACEUTICALS, INC (AQXP)
CIK: 0001404644
Period of Report: 2014-03-06
Reporting Person: PFIZER INC (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B-1 Preferred Stock | $ | Common Stock (334420) | Direct | ||
| Series B-2 Preferred Stock | $ | Common Stock (327178) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (301005) | Direct |
Footnotes
F1: The Series B-1 Preferred Stock is convertible into Common Stock at the option of the holder. The Series B-1 Preferred Stock will automatically convert into Common Stock on a 1-to-1 basis upon closing of the initial public offering of the issuer.
F2: Not Applicable.
F3: The Series B-2 Preferred Stock is convertible into Common Stock at the option of the holder. The Series B-2 Preferred Stock will automatically convert into Common Stock on a 1-to-1 basis upon closing of the initial public offering of the issuer.
F4: The Series C Preferred Stock is convertible into Common Stock at the option of the holder. The Series C Preferred Stock will automatically convert into Common Stock on a 1-to-1 basis upon closing of the initial public offering of the issuer.