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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series C-1 Preferred Stock | (3) | 07/30/2018 | C | 4,765,248 | (3) | (3) | Common Stock | 118,570 | $ 0 | 0 | I | See explanation of responses (5) | |||
Series D Preferred Stock | (4) | 07/30/2018 | C | 344,853 | (4) | (4) | Common Stock | 336,541 | $ 0 | 0 | I | See explanation of responses (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLAXOSMITHKLINE PLC 980 GREAT WEST ROAD BRENTFORD MIDDLESEX, X0 TW8 9GS |
Former 10% holder |
/s/ Victoria Whyte | 07/30/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On July 30, 2018, Glaxo Group Limited acquired 148,818 common shares of the Issuer ("Common Stock") at a price of $11.00 per share in connection with the Issuer's initial public offering. |
(2) | Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. |
(3) | The Series C-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date |
(4) | The Series D Preferred Stock converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date. |
(5) | The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |