Filing Details
- Accession Number:
- 0000899243-17-025510
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-07 16:08:53
- Reporting Period:
- 2017-11-06
- Accepted Time:
- 2017-11-07 16:08:53
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1701108 | Spero Therapeutics Inc. | SPRO | () | MA |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1030575 | Francois Jean Formela | C/O Spero Therapeutics, Inc. 675 Massachusetts Avenue, 14Th Floor Cambridge MA 02139 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2017-11-06 | 245,605 | $0.00 | 288,386 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2017-11-06 | 246,272 | $0.00 | 534,658 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2017-11-06 | 328,992 | $0.00 | 863,650 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2017-11-06 | 513,318 | $0.00 | 1,376,968 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2017-11-06 | 602,589 | $0.00 | 1,979,557 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2017-11-06 | 428,571 | $14.00 | 2,408,128 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Junior Preferred Stock | Disposition | 2017-11-06 | 1,492,645 | $0.00 | 245,605 | $0.00 |
Common Stock | Series A Preferred Stock | Disposition | 2017-11-06 | 982,906 | $0.00 | 246,272 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2017-11-06 | 1,250,000 | $0.00 | 328,992 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2017-11-06 | 3,119,633 | $0.00 | 513,318 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2017-11-06 | 3,662,178 | $0.00 | 602,589 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering.
- Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.
- Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.
- Shares held by Atlas Venture Fund X, L.P. ("Atlas Venture Fund X"). The general partner of Atlas Venture Fund X is Atlas Venture Associates X, L.P. ("AVA X LP"). Atlas Venture Associates X, LLC ("AVA X LLC") is the general partner of AVA X LP. Dr. Formela is a member of AVA X LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.