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Spero Therapeutics, Inc. — Director's Dealing 2017
Nov 1, 2017
34087_dirs_2017-11-01_11cc9aeb-d8a4-4ffb-9a34-53f0b61941ad.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: Halse Reza (Director)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (96367) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (328992) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (317726) | Indirect |
Footnotes
F1: The shares of Series A preferred stock are convertible into the number of shares of common stock shown in Column 3, 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: Share numbers give effect to the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017.
F3: Shares held by MRL Ventures Fund, LLC. The Reporting Person is the President of MRL Ventures Fund, LLC. The Reporting Person shares voting and investment power with respect to the shares held by MRL Ventures Fund, LLC and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F4: The shares of Series B preferred stock are convertible into the number of shares of common stock shown in Column 3, 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: The shares of Series C preferred stock are convertible into the number of shares of common stock shown in Column 3, 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.