Filing Details
- Accession Number:
- 0000903423-17-000632
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-07 19:42:39
- Reporting Period:
- 2017-11-06
- Accepted Time:
- 2017-11-07 19:42:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1701108 | Spero Therapeutics Inc. | SPRO | Pharmaceutical Preparations (2834) | X0 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1131399 | Plc Glaxosmithkline | 980 Great West Road Brentford, Middlesex, X0 TW8 9GS | 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 | 2017-11-06 | 244,147 | $0.00 | 244,147 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2017-11-06 | 246,272 | $0.00 | 490,419 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2017-11-06 | 328,992 | $0.00 | 819,411 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2017-11-06 | 606,024 | $0.00 | 1,425,435 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2017-11-06 | 428,571 | $14.00 | 1,854,006 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Junior preferred stock | Disposition | 2017-11-06 | 1,483,784 | $0.00 | 244,147 | $0.00 |
| Common Stock | Series A preferred stock | Disposition | 2017-11-06 | 982,906 | $0.00 | 246,272 | $0.00 |
| Common Stock | Series B preferred stock | Disposition | 2017-11-06 | 1,250,000 | $0.00 | 328,992 | $0.00 |
| Common Stock | Series C preferred stock | Disposition | 2017-11-06 | 3,683,045 | $0.00 | 606,024 | $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 | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- S.R. One, Limited acquired 428,571 common shares of the Issuer 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.
- The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
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