Filing Details
- Accession Number:
- 0001209191-14-023441
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-27 16:02:08
- Reporting Period:
- 2014-03-25
- Filing Date:
- 2014-03-27
- Accepted Time:
- 2014-03-27 16:02:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1517022 | Akebia Therapeutics Inc. | AKBA | Pharmaceutical Preparations (2834) | 208756903 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1297709 | Ltd Bioventures Novartis | 131 Front Street Hamilton D0 HM 12 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-03-25 | 182,590 | $17.00 | 182,590 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-03-25 | 3,223,174 | $0.00 | 3,405,764 | No | 4 | C | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | C | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2014-03-25 | 257,031 | $0.00 | 1,285,156 | $0.00 |
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2014-03-25 | 347,831 | $0.00 | 608,704 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2014-03-25 | 708,647 | $0.00 | 1,329,314 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Upon the closing of the Issuer's initial public offering, each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a one for five basis (as adjusted for the 1.75-for-1 stock split effected on March 6, 2014) without payment of further consideration, and have no expiration date.
- Upon the closing of the Issuer's initial public offering, each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a one for 1.75 basis (as adjusted for the 1.75-for-1 stock split effected on March 6, 2014) without payment of further consideration, and have no expiration date.
- Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock automatically converted into Common Stock with a conversion ratio equal to the Series C Accrued Value (the original issuance price of $14.00, plus accrued but unpaid cash dividends) divided by the Applicable Conversion Price of $14.00, adjusted for the 1.75-for-1 stock split effected on March 6, 2014, as provided in the Issuer's Eighth Amended and Restated Certificate of Incorporation, without payment of further consideration, and have no expiration date.
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