Breum Casper 4
4 · Spero Therapeutics, Inc. · Filed Nov 7, 2017
Insider Transaction Report
Form 4
Breum Casper
Director
Transactions
- Conversion
Common Stock
2017-11-06+179,450→ 468,552 total(indirect: Lundbeckfond Invest A/S) - Purchase
Common Stock
2017-11-06$14.00/sh+214,285$2,999,990→ 1,091,774 total(indirect: Lundbeckfond Invest A/S) - Conversion
Common Stock
2017-11-06+289,102→ 289,102 total(indirect: Lundbeckfond Invest A/S) - Conversion
Common Stock
2017-11-06+408,937→ 877,489 total(indirect: Lundbeckfond Invest A/S) - Conversion
Series A Preferred Stock
2017-11-06−1,153,846→ 0 total(indirect: Lundbeckfond Invest A/S)→ Common Stock (289,102 underlying) - Conversion
Series B Preferred Stock
2017-11-06−681,818→ 0 total(indirect: Lundbeckfond Invest A/S)→ Common Stock (179,450 underlying) - Conversion
Series C Preferred Stock
2017-11-06−2,485,272→ 0 total(indirect: Lundbeckfond Invest A/S)→ Common Stock (408,937 underlying)
Footnotes (3)
- [F1]Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering.
- [F2]Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date.
- [F3]Shares held by Lundbeckfond Invest A/S. The Reporting Person shares voting and investment power with respect to the shares held by Lundbeckfond Invest A/S and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.