Filing Details

Accession Number:
0000899243-17-027028
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-20 18:15:22
Reporting Period:
2017-11-20
Accepted Time:
2017-11-20 18:15:22
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1501697 Arsanis Inc. ASNS Biological Products, (No Disgnostic Substances) (2836) 273181608
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1721884 L.p. V Innovation Neomed 13 Castle Street
St Helier Y9 JE4 5UT
No No Yes No
1722665 Ltd (Jersey) Management Neomed 13 Castle Street
St Helier Y9
No No Yes No
1722666 Ltd V Innovation Neomed 13 Castle Street
St Helier Y9
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 2017-11-20 246,682 $0.00 246,682 No 4 C Direct
Common Stock Acquisiton 2017-11-20 41,878 $0.00 288,560 No 4 C Direct
Common Stock Acquisiton 2017-11-20 279,079 $0.00 567,639 No 4 C Direct
Common Stock Acquisiton 2017-11-20 300,000 $10.00 867,639 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Convertible Preferred Stock Disposition 2017-11-20 552,487 $0.00 246,682 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2017-11-20 84,040 $0.00 41,878 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2017-11-20 952,497 $0.00 279,079 $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
  1. The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
  2. The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
  3. The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
  4. The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.