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Filing Details

Accession Number:: 0000899243-17-027007
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-11-20 17:36:12
Reporting Period:: 2017-11-20

Accepted Time:: 2017-11-20 17:36:12
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1501697	Arsanis Inc.	ASNS	()	MA

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1117003	Terrance Mcguire	C/O Polaris Partners One Marina Park Drive, 10Th Floor Boston MA 02210		Yes	No	Yes	No

Reported Non-Derivative Transactions

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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

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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

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
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 the Reporting Person, 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, the Reporting Person 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 the Reporting Person 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, the Reporting Person 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 the Reporting Person 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, the Reporting Person 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 the Reporting Person 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, the Reporting Person 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.