Filing Details
- Accession Number:
- 0000899243-19-002138
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-01-29 18:52:56
- Reporting Period:
- 2019-01-25
- Accepted Time:
- 2019-01-29 18:52:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1609809 | Seres Therapeutics Inc. | MCRB | Pharmaceutical Preparations (2834) | 274326290 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1643734 | D. Eric Shaff | C/O Seres Therapeutics, Inc. 200 Sidney Street Cambridge MA 02139 | See Remarks | No | Yes | 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 | 2019-01-26 | 12,000 | $0.00 | 17,220 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-01-28 | 4,378 | $5.75 | 12,842 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | STOCK OPTION (RIGHT TO BUY) | Acquisiton | 2019-01-25 | 275,000 | $0.00 | 275,000 | $6.01 |
| Common Stock | RESTRICTED STOCK UNITS | Disposition | 2019-01-26 | 12,000 | $0.00 | 12,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 275,000 | 2029-01-24 | No | 4 | A | Direct | |
| 20,000 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit represents a contingent right to receive one share of Issuer common stock.
- The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $5.75 to $5.8321. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The option will vest as to 25% of the shares on January 25, 2020. The remainder of the shares will vest in 12 equal quarterly installments thereafter.
- These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020.
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