Home/Filings/4/0001209191-22-059053

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Pontifax (Israel) IV, L.P. 4

Accession 0001209191-22-059053

CIK 0001664710other

View on SEC.gov Company Profile

Filed

Nov 29, 7:00 PM ET

Accepted

Nov 30, 4:42 PM ET

Size

25.9 KB

Accession

0001209191-22-059053

Insider Transaction Report

Form 4

Period: 2022-11-29

Keros Therapeutics, Inc.KROS

Pontifax Management 4 G.P. (2015) Ltd.

10% Owner

Transactions

Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,914→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,914 underlying)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−3,539$0→ 2,284,612 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,723→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,723 underlying)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,723$0→ 1,121,045 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−3,539→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (3,539 underlying)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,914$0→ 1,226,412 total(indirect: See footnote)

Pontifax (Cayman) IV L.P.

10% Owner

Transactions

Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,914→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,914 underlying)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,723$0→ 1,121,045 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,723→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,723 underlying)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−3,539$0→ 2,284,612 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,914$0→ 1,226,412 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−3,539→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (3,539 underlying)

Pontifax (China) IV L.P.

10% Owner

Transactions

Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,723$0→ 1,121,045 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,914$0→ 1,226,412 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−3,539$0→ 2,284,612 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−3,539→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (3,539 underlying)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,723→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,723 underlying)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,914→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,914 underlying)

Pontifax Late Stage Fund L.P.

10% Owner

Transactions

Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−3,539$0→ 2,284,612 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,914$0→ 1,226,412 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,723→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,723 underlying)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,723$0→ 1,121,045 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−3,539→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (3,539 underlying)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,914→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,914 underlying)

Pontifax Late Stage GP Ltd.

10% Owner

Transactions

Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,914$0→ 1,226,412 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−3,539$0→ 2,284,612 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,723$0→ 1,121,045 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−3,539→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (3,539 underlying)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,723→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,723 underlying)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,914→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,914 underlying)

Pontifax (Israel) IV, L.P.

10% Owner

Transactions

Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−3,539$0→ 2,284,612 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,914$0→ 1,226,412 total(indirect: See footnote)
Exercise of In-Money
Common Stock
2022-11-29$0.00/sh−1,723$0→ 1,121,045 total(indirect: See footnote)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−3,539→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (3,539 underlying)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,914→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,914 underlying)
Exercise of In-Money
Call Options (obligation to sell)
2022-11-29−1,723→ 0 total(indirect: See footnote)
Exercise: $0.00Exp: 2023-10-07→ Common Stock (1,723 underlying)

Footnotes (5)

[F1]Represents an exercise of a call option (obligation to sell), pursuant to a stock option agreement dated January 21, 2016, by and between the Pontifax (Israel) IV, L.P. ("Israel IV"), Pontifax (Cayman) IV, L.P. ("Cayman IV") and Pontifax (China) IV, L.P. ("China IV") and a certain securityholder.
[F2]The securities are held by Israel IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the ultimate general partner of Israel IV. As a result Management 4 may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Management 4 disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
[F3]The securities are held by Cayman IV. Management 4 is the ultimate general partner of Cayman IV. As a result Management 4 may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Management 4 disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
[F4]The securities are held by China IV. Management 4 is the ultimate general partner of China IV. As a result Management 4 may be deemed to share voting and dispositive power with respect to the shares held by China IV. Management 4 disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
[F5]Fully vested and exercisable.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Keros Therapeutics, Inc.

CIK 0001664710

→

Entity typeother

IncorporatedCayman Islands

Related Parties

filerCIK 0001726039

Filing Metadata

Form type: 4
Filed: Nov 29, 7:00 PM ET
Accepted: Nov 30, 4:42 PM ET
Size: 25.9 KB

View on SEC.gov