Filing Details
- Accession Number:
- 0001209191-23-056920
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-11-29 17:07:06
- Reporting Period:
- 2023-11-27
- Accepted Time:
- 2023-11-29 17:07:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1828522 | Effector Therapeutics Inc. | EFTR | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1595117 | Simeon George | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1848319 | Sr One Capital Fund I Aggregator Lp | 6005 Hidden Valley Road Suite 110 Carlsbad CA 92011 | No | No | Yes | No | |
| 1853723 | Sr One Capital Management, Llc | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1853724 | Sr One Capital Partners I, Lp | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1864915 | Sr One Co-Invest I, Llc | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | No | No | Yes | No | |
| 1881204 | Sr One Co-Invest I Manager, Llc | 985 Old Eagle School Road Suite 511 Wayne PA 19087 | 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 | Disposition | 2023-11-27 | 430,578 | $0.61 | 4,391,536 | No | 4 | S | Indirect | See Note 2 |
| Common Stock | Disposition | 2023-11-27 | 178,585 | $0.61 | 1,821,415 | No | 4 | S | Indirect | See Note 3 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See Note 2 |
| No | 4 | S | Indirect | See Note 3 |
Footnotes
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5691 to $0.68 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management (SR One Partners I, SR One Capital Management, and Dr. George together, the "Fund I Indirect Reporting Persons"). The Fund I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Fund I Indirect Reporting Persons have no pecuniary interest.
- The securities are directly held by SR One Co-Invest I, LLC ("SR One Co-Invest I"). SR One Co-Invest I Manager, LLC ("SR One Co-Invest I Manager") is the managing member of SR One Co-Invest I and SR One Capital Management is the managing member of SR One Co-Invest I Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest I Manager, SR One Capital Management, and Dr. George together, the "Co-Invest I Indirect Reporting Persons"). The Co-Invest I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest I in which the Co-Invest I Indirect Reporting Persons have no pecuniary interest.
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