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X4 Pharmaceuticals, Inc — Director's Dealing 2017
Nov 15, 2017
34355_dirs_2017-11-15_798a2628-4e83-4d65-8cf3-5053b452530b.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: Nessi Claudio (Director, 10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B Convertible Preferred Stock | $ | Common Stock (246682) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (41878) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (279079) | Indirect |
Footnotes
F1: 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.
F2: 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.
F3: 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.
F4: The reported securities are held of record by NeoMed Innovation V L.P. Claudio Nessi, a member of our board of directors, is the Managing Partner of NeoMed Management (Jersey) Limited, which is the Investment Manager to NeoMed Innovation V L.P. By virtue of such relationship, Dr. Nessi may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Dr. Nessi disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of his pecuniary interest therein, if any.