4//SEC Filing
Ratcliffe Liam 4
Accession 0001209191-18-034404
CIK 0001659323other
Filed
May 30, 8:00 PM ET
Accepted
May 31, 4:54 PM ET
Size
22.8 KB
Accession
0001209191-18-034404
Insider Transaction Report
Form 4
Ratcliffe Liam
10% Owner
Transactions
- Purchase
Ordinary Shares
2018-05-30$13.00/sh+384,615$4,999,995→ 384,615 total(indirect: By New Leaf Biopharma Opportunities II, L.P.) - Conversion
Ordinary Shares
2018-05-30+148,603→ 793,626 total(indirect: By New Leaf Ventures III, L.P.) - Conversion
Series B-1 Preferred Shares
2018-05-30−178,230→ 0 total(indirect: By New Leaf Ventures III, L.P.)→ Ordinary Shares (178,230 underlying) - Conversion
Ordinary Shares
2018-05-30+466,793→ 466,793 total(indirect: By New Leaf Ventures III, L.P.) - Conversion
Ordinary Shares
2018-05-30+178,230→ 645,023 total(indirect: By New Leaf Ventures III, L.P.) - Purchase
Ordinary Shares
2018-05-30$13.00/sh+278,062$3,614,806→ 1,071,688 total(indirect: By New Leaf Ventures III, L.P.) - Conversion
Series A Preferred Shares
2018-05-30−466,793→ 0 total(indirect: By New Leaf Ventures III, L.P.)→ Ordinary Shares (466,793 underlying) - Conversion
Series B-2 Preferred Shares
2018-05-30−148,603→ 0 total(indirect: By New Leaf Ventures III, L.P.)→ Ordinary Shares (148,603 underlying)
Lathi Vijay K
10% Owner
Transactions
- Conversion
Series B-1 Preferred Shares
2018-05-30−178,230→ 0 total(indirect: By New Leaf Ventures III, L.P.)→ Ordinary Shares (178,230 underlying) - Conversion
Ordinary Shares
2018-05-30+466,793→ 466,793 total(indirect: By New Leaf Ventures III, L.P.) - Purchase
Ordinary Shares
2018-05-30$13.00/sh+384,615$4,999,995→ 384,615 total(indirect: By New Leaf Biopharma Opportunities II, L.P.) - Conversion
Ordinary Shares
2018-05-30+178,230→ 645,023 total(indirect: By New Leaf Ventures III, L.P.) - Conversion
Ordinary Shares
2018-05-30+148,603→ 793,626 total(indirect: By New Leaf Ventures III, L.P.) - Purchase
Ordinary Shares
2018-05-30$13.00/sh+278,062$3,614,806→ 1,071,688 total(indirect: By New Leaf Ventures III, L.P.) - Conversion
Series A Preferred Shares
2018-05-30−466,793→ 0 total(indirect: By New Leaf Ventures III, L.P.)→ Ordinary Shares (466,793 underlying) - Conversion
Series B-2 Preferred Shares
2018-05-30−148,603→ 0 total(indirect: By New Leaf Ventures III, L.P.)→ Ordinary Shares (148,603 underlying)
Footnotes (6)
- [F1]The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.
- [F2]These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.
- [F3]The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.
- [F4]The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.
- [F5]These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors are the managing directors of NBPO-IIM and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors, NBPO-IIA and NBPO-IIM each disclaim Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of their respective pecuniary interest therein, if any.
- [F6]Not applicable.
Documents
Issuer
Iterum Therapeutics plc
CIK 0001659323
Entity typeother
Related Parties
1- filerCIK 0001547100
Filing Metadata
- Form type
- 4
- Filed
- May 30, 8:00 PM ET
- Accepted
- May 31, 4:54 PM ET
- Size
- 22.8 KB