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X4 Pharmaceuticals, Inc — Director's Dealing 2021
Sep 10, 2021
34355_dirs_2021-09-10_4030be6f-b85a-4930-b80d-a7ec05c5c32e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: X4 Pharmaceuticals, Inc (XFOR)
CIK: 0001501697
Period of Report: 2021-09-08
Reporting Person: DiBiase Mary (Chief Operating Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 64475 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $6.84 | 2027-07-11 | Common Stock (15205.0) | Direct | |
| Stock Option (right to buy) | $7.08 | 2028-04-10 | Common Stock (1900.0) | Direct | |
| Stock Option (right to buy) | $10.44 | 2028-08-21 | Common Stock (10112.0) | Direct | |
| Stock Option (right to buy) | $14.75 | 2029-06-16 | Common Stock (9469.0) | Direct | |
| Stock Option (right to buy) | $10.0 | 2030-02-09 | Common Stock (22500.0) | Direct | |
| Stock Option (right to buy) | $8.69 | 2030-06-09 | Common Stock (7500.0) | Direct |
Footnotes
F1: Includes 58,293 shares underlying restricted stock units issued to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer and has no expiration date. Of the total shares underlying outstanding restricted stock units, (a) 2,916 shares will vest on June 15, 2022; 2,917 shares will vest on June 23, 2022; 5,834 shares will vest on August 17, 2022; 2,916 shares will vest on June 15, 2023 and 2,917 shares will vest on June 23, 2023 (b) 3,156 shares will vest in two equal instalments on June 30, 2022 and June 30, 2023 and (c) 37,637 shares will vest in three equal instalments on February 11, 2022, February 11, 2023 and February 11, 2024, in each case subject to the Reporting Person providing continuous service to the Issuer on such dates.
F2: Fully vested as of July 12, 2021.
F3: Fully vested as of April 11, 2020.
F4: Twenty five percent (25%) of the shares underlying the option vested on August 22, 2019 and one thirty sixth (1/36th) of the shares underlying the award vest monthly thereafter subject to the reporting person providing continuous services to the Issuer on such dates.
F5: Twenty five percent (25%) of the shares underlying the option vested on June 17, 2020 and one thirty sixth (1/36th) of the shares underlying the award vest monthly thereafter subject to the reporting person providing continuous services to the Issuer on such dates.
F6: Twenty five percent (25%) of the shares underlying the option vested on February 10, 2021 and one thirty sixth (1/36th) of the shares underlying the award vest monthly thereafter subject to the reporting person providing continuous services to the Issuer on such dates.
F7: Twenty five percent (25%) of the shares underlying the option vested on June 10, 2021 and one thirty sixth (1/36th) of the shares underlying the award vest monthly thereafter subject to the reporting person providing continuous services to the Issuer on such dates.