4//SEC Filing
ASTRAZENECA PLC 4
Accession 0001209191-18-056046
$AZNCIK 0001169245other
Filed
Oct 23, 8:00 PM ET
Accepted
Oct 24, 4:16 PM ET
Size
21.2 KB
Accession
0001209191-18-056046
Insider Transaction Report
Form 4
ASTRAZENECA PLC
10% Owner
Transactions
- Sale
Series C-1 Preferred Stock
2018-10-22$5.00/sh−2,734$13,670→ 1,664,217 total(indirect: By Zeneca, Inc.)→ Common Stock (2,734 underlying) - Exercise of In-Money
Warrants to Purchase Series C-1 Preferred Stock
2018-10-22−113,891→ 0 total(indirect: By Zeneca, Inc.)Exercise: $0.12→ Series C-1 Preferred Stock (113,891 underlying) - Conversion
Series D Preferred Stock
2018-10-22−740,337→ 0 total(indirect: By Zeneca, Inc.)→ Common Stock (740,337 underlying) - Purchase
Common Stock
2018-10-22$5.00/sh+600,000$3,000,000→ 3,004,554 total(indirect: By Zeneca, Inc.) - Conversion
Common Stock
2018-10-22+2,404,554→ 2,404,554 total(indirect: By Zeneca, Inc.) - Exercise of In-Money
Series C-1 Preferred Stock
2018-10-22$0.12/sh+113,891$13,667→ 1,666,951 total(indirect: By Zeneca, Inc.)→ Common Stock (113,891 underlying) - Conversion
Series C-1 Preferred Stock
2018-10-22−1,664,217→ 0 total(indirect: By Zeneca, Inc.)→ Common Stock (1,664,217 underlying)
Zeneca, Inc.
10% Owner
Transactions
- Conversion
Common Stock
2018-10-22+2,404,554→ 2,404,554 total(indirect: By Zeneca, Inc.) - Purchase
Common Stock
2018-10-22$5.00/sh+600,000$3,000,000→ 3,004,554 total(indirect: By Zeneca, Inc.) - Exercise of In-Money
Series C-1 Preferred Stock
2018-10-22$0.12/sh+113,891$13,667→ 1,666,951 total(indirect: By Zeneca, Inc.)→ Common Stock (113,891 underlying) - Conversion
Series C-1 Preferred Stock
2018-10-22−1,664,217→ 0 total(indirect: By Zeneca, Inc.)→ Common Stock (1,664,217 underlying) - Exercise of In-Money
Warrants to Purchase Series C-1 Preferred Stock
2018-10-22−113,891→ 0 total(indirect: By Zeneca, Inc.)Exercise: $0.12→ Series C-1 Preferred Stock (113,891 underlying) - Sale
Series C-1 Preferred Stock
2018-10-22$5.00/sh−2,734$13,670→ 1,664,217 total(indirect: By Zeneca, Inc.)→ Common Stock (2,734 underlying) - Conversion
Series D Preferred Stock
2018-10-22−740,337→ 0 total(indirect: By Zeneca, Inc.)→ Common Stock (740,337 underlying)
Footnotes (4)
- [F1]Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date.
- [F2]Zeneca Inc. is a wholly-owned subsidiary of AstraZeneca PLC. AstraZeneca PLC may be deemed to beneficially own the securities held by Zeneca Inc., but disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, if any.
- [F3]Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering.
- [F4]The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering.
Documents
Issuer
PhaseBio Pharmaceuticals Inc
CIK 0001169245
Entity typeother
IncorporatedUnited Kingdom
Related Parties
1- filerCIK 0000901832
Filing Metadata
- Form type
- 4
- Filed
- Oct 23, 8:00 PM ET
- Accepted
- Oct 24, 4:16 PM ET
- Size
- 21.2 KB