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X4 Pharmaceuticals, Inc — Director's Dealing 2017
Nov 15, 2017
34355_dirs_2017-11-15_5142e82f-8b2b-474a-ba76-d6049bb65797.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Arsanis, Inc. (ASNS)
CIK: 0001501697
Period of Report: 2017-11-15
Reporting Person: EMBL Technology Fund II GmbH & Co. KG (10% Owner)
Reporting Person: EMBL Ventures Verwaltungs GmbH (10% Owner)
Reporting Person: Adams Jan (10% Owner)
Reporting Person: Herr Stefan (10% Owner)
Reporting Person: Muhlenbeck Frank (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series C Convertible Preferred Stock | $ | Common Stock (103278) | Direct | ||
| Series D Convertible Preferred Stock | $ | Common Stock (247176) | Direct |
Footnotes
F1: The Series C Convertible Preferred Stock is convertible into Common Stock on a 0.49832-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
F2: The Series D Convertible Preferred Stock is convertible into Common Stock on a 0.29300-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
F3: The reported securities are held of record by EMBL Technology Fund II GmbH & Co. KG ("EMBL"). EMBL Ventures Verwaltungs GmbH is the general partner of EMBL. Dr. Jan Adams, Dr. Frank Muhlenbeck and Dr. Stefan Herr are the Managing Directors of EMBL Ventures Verwaltungs GmbH. By virtue of such relationships, EMBL Ventures Verwaltungs GmbH, Dr.Adams, Dr. Frank Muhlenbeck and Dr. Herrmay be deemed to have voting and investment power with respect to the securities held by EMBL.Each of EMBL Ventures Verwaltungs GmbH, Dr.Adams, Dr. Frank Muhlenbeck and Dr. Herr disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.