Filing Details
- Accession Number:
- 0000899243-17-025505
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-07 16:05:26
- Reporting Period:
- 2017-11-06
- Accepted Time:
- 2017-11-07 16:05:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1701108 | Spero Therapeutics Inc. | SPRO | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1630850 | Casper Breum | C/O Lundbeckfond Invest A/S Scherfigsvej 7 Copenhagen G7 DK-2100 | Yes | No | No | 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 | 2017-11-06 | 289,102 | $0.00 | 289,102 | No | 4 | C | Indirect | Lundbeckfond Invest A/S |
| Common Stock | Acquisiton | 2017-11-06 | 179,450 | $0.00 | 468,552 | No | 4 | C | Indirect | Lundbeckfond Invest A/S |
| Common Stock | Acquisiton | 2017-11-06 | 408,937 | $0.00 | 877,489 | No | 4 | C | Indirect | Lundbeckfond Invest A/S |
| Common Stock | Acquisiton | 2017-11-06 | 214,285 | $14.00 | 1,091,774 | No | 4 | P | Indirect | Lundbeckfond Invest A/S |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Lundbeckfond Invest A/S |
| No | 4 | C | Indirect | Lundbeckfond Invest A/S |
| No | 4 | C | Indirect | Lundbeckfond Invest A/S |
| No | 4 | P | Indirect | Lundbeckfond Invest A/S |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2017-11-06 | 1,153,846 | $0.00 | 289,102 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2017-11-06 | 681,818 | $0.00 | 179,450 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2017-11-06 | 2,485,272 | $0.00 | 408,937 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering.
- Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date.
- Shares held by Lundbeckfond Invest A/S. The Reporting Person shares voting and investment power with respect to the shares held by Lundbeckfond Invest A/S and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
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