X4 Pharmaceuticals, Inc — Director's Dealing 2017

Nov 15, 2017

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Arsanis, Inc. (ASNS)
CIK: 0001501697
Period of Report: 2017-11-15

Reporting Person: MCGUIRE TERRANCE (Director, 10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A-1 Convertible Preferred Stock	$		Common Stock (18848)		Indirect
Series A-1 Convertible Preferred Stock	$		Common Stock (367)		Indirect
Series A-1 Convertible Preferred Stock	$		Common Stock (129)		Indirect
Series A-1 Convertible Preferred Stock	$		Common Stock (188)		Indirect
Series A-2 Convertible Preferred Stock	$		Common Stock (243385)		Indirect
Series A-2 Convertible Preferred Stock	$		Common Stock (4743)		Indirect
Series A-2 Convertible Preferred Stock	$		Common Stock (1667)		Indirect
Series A-2 Convertible Preferred Stock	$		Common Stock (2433)		Indirect
Series B Convertible Preferred Stock	$		Common Stock (317376)		Indirect
Series B Convertible Preferred Stock	$		Common Stock (6185)		Indirect
Series B Convertible Preferred Stock	$		Common Stock (2173)		Indirect
Series B Convertible Preferred Stock	$		Common Stock (3173)		Indirect
Series C Convertible Preferred Stock	$		Common Stock (110312)		Indirect
Series C Convertible Preferred Stock	$		Common Stock (2150)		Indirect
Series C Convertible Preferred Stock	$		Common Stock (755)		Indirect
Series C Convertible Preferred Stock	$		Common Stock (1102)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (631041)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (12298)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (4322)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (6310)		Indirect

Footnotes

F1: The Series A-1 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.

F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and the Reporting Person, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds").

F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, the Reporting Person and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F4: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and the Reporting Person are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, the Reporting Person and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F5: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and the Reporting Person are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, the Reporting Person and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F6: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and the Reporting Person are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, the Reporting Person and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F7: The Series A-2 Convertible Preferred Stock is convertible into Common Stock on a 0.35785-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.

F8: The Series B Convertible Preferred Stock is convertible into Common Stock on a 0.44650-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.

F9: 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.

F10: 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.