Filing Details

Accession Number:
0000899243-17-026998
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-20 17:28:35
Reporting Period:
2017-11-20
Accepted Time:
2017-11-20 17:28:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1501697 Arsanis Inc. ASNS () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1295676 A Jonathan Flint One Marina Park Drive, 10Th Floor
Boston MA 02210
No No Yes No
1439586 Polaris Venture Partners Special Founders' Fund V, L.p. One Marina Park Drive, 10Th Floor
Boston MA 02210
No No Yes No
1439587 Polaris Venture Partners Entrepreneurs' Fund V, L.p. One Marina Park Drive, 10Th Floor
Boston MA 02210
No No Yes No
1439588 Polaris Venture Partners Founders' Fund V, L.p. One Marina Park Drive, 10Th Floor
Boston MA 02210
No No Yes No
1439589 Polaris Venture Management Co. V, L.l.c. One Marina Park Drive, 10Th Floor
Boston MA 02210
No No Yes No
1439590 Polaris Venture Partners V, L.p. One Marina Park Drive, 10Th Floor
Boston MA 02210
No No Yes 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 2017-11-20 18,848 $0.00 18,848 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2017-11-20 367 $0.00 367 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 129 $0.00 129 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 188 $0.00 188 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 243,385 $0.00 262,233 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2017-11-20 4,743 $0.00 5,110 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 1,667 $0.00 1,796 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 2,433 $0.00 2,621 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 317,376 $0.00 579,609 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2017-11-20 6,185 $0.00 11,295 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 2,173 $0.00 3,969 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 3,173 $0.00 5,794 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 110,312 $0.00 689,921 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2017-11-20 2,150 $0.00 13,445 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 755 $0.00 4,724 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 1,102 $0.00 6,896 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 631,041 $0.00 1,320,962 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2017-11-20 12,298 $0.00 25,743 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 4,322 $0.00 9,046 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 6,310 $0.00 13,206 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-20 482,467 $10.00 1,803,429 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2017-11-20 9,403 $10.00 35,146 No 4 P Indirect See Footnote
Common Stock Acquisiton 2017-11-20 3,305 $10.00 12,351 No 4 P Indirect See Footnote
Common Stock Acquisiton 2017-11-20 4,825 $10.00 18,031 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnote
No 4 P 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 Series A-1 Convertible Preferred Stock Disposition 2017-11-20 64,329 $0.00 18,848 $0.00
Common Stock Series A-1 Convertible Preferred Stock Disposition 2017-11-20 1,254 $0.00 367 $0.00
Common Stock Series A-1 Convertible Preferred Stock Disposition 2017-11-20 441 $0.00 129 $0.00
Common Stock Series A-1 Convertible Preferred Stock Disposition 2017-11-20 643 $0.00 188 $0.00
Common Stock Series A-2 Convertible Preferred Stock Disposition 2017-11-20 680,130 $0.00 243,385 $0.00
Common Stock Series A-2 Convertible Preferred Stock Disposition 2017-11-20 13,256 $0.00 4,743 $0.00
Common Stock Series A-2 Convertible Preferred Stock Disposition 2017-11-20 4,659 $0.00 1,667 $0.00
Common Stock Series A-2 Convertible Preferred Stock Disposition 2017-11-20 6,801 $0.00 2,433 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2017-11-20 710,817 $0.00 317,376 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2017-11-20 13,854 $0.00 6,185 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2017-11-20 4,869 $0.00 2,173 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2017-11-20 7,108 $0.00 3,173 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2017-11-20 221,638 $0.00 110,312 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2017-11-20 4,315 $0.00 2,150 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2017-11-20 1,516 $0.00 755 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2017-11-20 2,213 $0.00 1,102 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2017-11-20 2,153,746 $0.00 631,041 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2017-11-20 41,976 $0.00 12,298 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2017-11-20 14,752 $0.00 4,322 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2017-11-20 21,537 $0.00 6,310 $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
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
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
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
  1. The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
  2. 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 Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, 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").
  3. (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, McGuire 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.
  4. These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire 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, McGuire 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.
  5. These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire 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, McGuire 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.
  6. These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire 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, McGuire 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.
  7. The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
  8. The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
  9. The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
  10. The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.