4//SEC Filing
Adams Jan 4
Accession 0000899243-17-027103
CIK 0001501697other
Filed
Nov 19, 7:00 PM ET
Accepted
Nov 20, 9:56 PM ET
Size
19.8 KB
Accession
0000899243-17-027103
Insider Transaction Report
Form 4
Arsanis, Inc.ASNS
EMBL Ventures Verwaltungs GmbH
10% Owner
Transactions
- Conversion
Common Stock
2017-11-20+247,176→ 350,454 total - Conversion
Series C Convertible Preferred Stock
2017-11-20−207,253→ 0 total→ Common Stock (103,278 underlying) - Purchase
Common Stock
2017-11-20$10.00/sh+20,000$200,000→ 370,454 total - Conversion
Series D Convertible Preferred Stock
2017-11-20−843,613→ 0 total→ Common Stock (247,176 underlying) - Conversion
Common Stock
2017-11-20+103,278→ 103,278 total
Herr Stefan
10% Owner
Transactions
- Purchase
Common Stock
2017-11-20$10.00/sh+20,000$200,000→ 370,454 total - Conversion
Series D Convertible Preferred Stock
2017-11-20−843,613→ 0 total→ Common Stock (247,176 underlying) - Conversion
Common Stock
2017-11-20+103,278→ 103,278 total - Conversion
Common Stock
2017-11-20+247,176→ 350,454 total - Conversion
Series C Convertible Preferred Stock
2017-11-20−207,253→ 0 total→ Common Stock (103,278 underlying)
Muhlenbeck Frank
10% Owner
Transactions
- Conversion
Common Stock
2017-11-20+103,278→ 103,278 total - Purchase
Common Stock
2017-11-20$10.00/sh+20,000$200,000→ 370,454 total - Conversion
Series C Convertible Preferred Stock
2017-11-20−207,253→ 0 total→ Common Stock (103,278 underlying) - Conversion
Common Stock
2017-11-20+247,176→ 350,454 total - Conversion
Series D Convertible Preferred Stock
2017-11-20−843,613→ 0 total→ Common Stock (247,176 underlying)
Transactions
- Conversion
Common Stock
2017-11-20+103,278→ 103,278 total - Conversion
Common Stock
2017-11-20+247,176→ 350,454 total - Purchase
Common Stock
2017-11-20$10.00/sh+20,000$200,000→ 370,454 total - Conversion
Series D Convertible Preferred Stock
2017-11-20−843,613→ 0 total→ Common Stock (247,176 underlying) - Conversion
Series C Convertible Preferred Stock
2017-11-20−207,253→ 0 total→ Common Stock (103,278 underlying)
Adams Jan
10% Owner
Transactions
- Purchase
Common Stock
2017-11-20$10.00/sh+20,000$200,000→ 370,454 total - Conversion
Series C Convertible Preferred Stock
2017-11-20−207,253→ 0 total→ Common Stock (103,278 underlying) - Conversion
Common Stock
2017-11-20+247,176→ 350,454 total - Conversion
Common Stock
2017-11-20+103,278→ 103,278 total - Conversion
Series D Convertible Preferred Stock
2017-11-20−843,613→ 0 total→ Common Stock (247,176 underlying)
Footnotes (3)
- [F1]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.
- [F2]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.
- [F3]The reported securities are held of record by EMBL Technology Fund II GmbH & Co. KG ("EMBL"). EMBL Ventures Verwaltungs GmbH is the general partner of EMBL. Dr. Jan Adams, Dr. Frank Muhlenbeck and Dr. Stefan Herr are the Managing Directors of EMBL Ventures Verwaltungs GmbH. By virtue of such relationships, EMBL Ventures Verwaltungs GmbH, Dr. Adams, Dr. Frank Muhlenbeck and Dr. Herr may be deemed to have voting and investment power with respect to the securities held by EMBL. Each of EMBL Ventures Verwaltungs GmbH, Dr. Adams, Dr. Frank Muhlenbeck and Dr. Herr disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Documents
Issuer
Arsanis, Inc.
CIK 0001501697
Entity typeother
Related Parties
1- filerCIK 0001722536
Filing Metadata
- Form type
- 4
- Filed
- Nov 19, 7:00 PM ET
- Accepted
- Nov 20, 9:56 PM ET
- Size
- 19.8 KB