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
- 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.
- 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").
- (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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.