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Spero Therapeutics, Inc. — Director's Dealing 2017
Nov 2, 2017
34087_dirs_2017-11-02_628b4643-c49f-402f-b6b3-38079f24477e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Spero Therapeutics, Inc. (SPRO)
CIK: 0001701108
Period of Report: 2017-11-01
Reporting Person: GLAXOSMITHKLINE PLC (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Junior preferred stock | $ | Common Stock (244147) | Indirect | ||
| Series A preferred stock | $ | Common Stock (246272) | Indirect | ||
| Series B preferred stock | $ | Common Stock (328992) | Indirect | ||
| Series C preferred stock | $ | Common Stock (606024) | Indirect |
Footnotes
F1: The Junior preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.
F2: The Series A preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.
F3: The Series B preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.
F4: The Series C preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.
F5: Share numbers give effect to the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017.
F6: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").