4//SEC Filing
Satter Muneer A 4
Accession 0001567619-20-013817
CIK 0001528115other
Filed
Jul 27, 8:00 PM ET
Accepted
Jul 28, 4:17 PM ET
Size
19.3 KB
Accession
0001567619-20-013817
Insider Transaction Report
Form 4
Annexon, Inc.ANNX
Satter Muneer A
Director10% Owner
Transactions
- Conversion
Common Stock
2020-07-28+1,754,978→ 1,754,978 total(indirect: See footnote) - Conversion
Series B Preferred Stock
2020-07-28−4,016,573→ 0 total(indirect: See footnote)→ Common Stock (455,909 underlying) - Conversion
Series D Preferred Stock
2020-07-28−2,812,543→ 0 total(indirect: See footnote)→ Common Stock (319,244 underlying) - Purchase
Common Stock
2020-07-28$17.00/sh+200,000$3,400,000→ 1,954,978 total(indirect: See footnote) - Conversion
Series A-1 Preferred Stock
2020-07-28−3,095,238→ 0 total(indirect: See footnote)→ Common Stock (351,331 underlying) - Conversion
Series C Preferred Stock
2020-07-28−5,537,036→ 0 total(indirect: See footnote)→ Common Stock (628,494 underlying)
Footnotes (7)
- [F1]The shares of Series A-1, Series B, Series C and Series D Preferred Stock were automatically converted on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
- [F2]The amount in Column 5 includes (a) 952,381 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 2,142,857 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote (2), except to the extent of his pecuniary interest.
- [F3]The amount in Column 5 includes (a) 1,162,022 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 2,854,551 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote (3), except to the extent of his pecuniary interest.
- [F4]Represents shares held by Satter Medical Technology Partners, L.P. ("SMTP"), for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in this footnote (4), except to the extent of his pecuniary interest.
- [F5]The amount in Column 5 includes (a) 240,000 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 567,240 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) 947,738 shares that are held by SMTP for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (5), except to the extent of his pecuniary interest.
- [F6]Represents shares purchased by SMTP in connection with the Issuer's initial public offering. These shares of Common Stock were purchased at the public offering price of $17.00 per share.
- [F7]The amount in Column 5 includes (a) 240,000 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 567,240 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) 1,147,738 shares that are held by SMTP for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (7), except to the extent of his pecuniary interest.
Documents
Issuer
Annexon, Inc.
CIK 0001528115
Entity typeother
Related Parties
1- filerCIK 0001315797
Filing Metadata
- Form type
- 4
- Filed
- Jul 27, 8:00 PM ET
- Accepted
- Jul 28, 4:17 PM ET
- Size
- 19.3 KB