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X4 Pharmaceuticals, Inc — Director's Dealing 2017
Nov 15, 2017
34355_dirs_2017-11-15_b630bb22-f4aa-4597-a211-148e9f9e288b.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: Ross Michael Jay (Director, 10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A-1 Convertible Preferred Stock | $ | Common Stock (19128) | Indirect | ||
| Series A-1 Convertible Preferred Stock | $ | Common Stock (404) | Indirect | ||
| Series A-2 Convertible Preferred Stock | $ | Common Stock (247010) | Indirect | ||
| Series A-2 Convertible Preferred Stock | $ | Common Stock (5219) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (322102) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (6806) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (111955) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (2365) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (202915) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (4288) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (431980) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (14789) | 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: 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.
F3: 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.
F4: 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.
F5: 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.
F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. The reporting person, a member of the investment committee of SVLSF VI, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. The reporting person, a member of the investment committee of SVLSF VI, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.