Filing Details
- Accession Number:
- 0001209191-18-034197
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-30 17:15:40
- Reporting Period:
- 2018-05-30
- Accepted Time:
- 2018-05-30 17:15:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1659323 | Iterum Therapeutics Plc | ITRM | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1365617 | J Patrick Heron | C/O Iterum Therapeutics Plc, Blk 2 Fl. 3, Harcourt Centre, Harcourt St. Dublin L2 2 | Yes | No | Yes | No | |
| 1553071 | Frazier Healthcare Vii, L.p. | 601 Union Street, Suite 3200 Seattle WA 98101 | No | No | Yes | No | |
| 1575192 | Frazier Healthcare Vii-A, L.p. | 601 Union Street, Suite 3200 Seattle WA 98101 | No | No | Yes | No | |
| 1654631 | Fhm Vii, L.l.c. | 601 Union Street, Suite 3200 Seattle WA 98101 | No | No | Yes | No | |
| 1654632 | Fhm Vii, L.p. | 601 Union Street, Suite 3200 Seattle WA 98101 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Acquisiton | 2018-05-30 | 495,370 | $0.00 | 495,370 | No | 4 | C | Indirect | By Frazier Healthcare VII, L.P. |
| Ordinary Shares | Acquisiton | 2018-05-30 | 189,141 | $0.00 | 684,511 | No | 4 | C | Indirect | By Frazier Healthcare VII, L.P. |
| Ordinary Shares | Acquisiton | 2018-05-30 | 157,701 | $0.00 | 842,212 | No | 4 | C | Indirect | By Frazier Healthcare VII, L.P. |
| Ordinary Shares | Acquisiton | 2018-05-30 | 354,949 | $13.00 | 1,197,161 | No | 4 | P | Indirect | By Frazier Healthcare VII, L.P. |
| Ordinary Shares | Acquisiton | 2018-05-30 | 141,166 | $0.00 | 141,166 | No | 4 | C | Indirect | By Frazier Healthcare VII-A, L.P. |
| Ordinary Shares | Acquisiton | 2018-05-30 | 53,899 | $0.00 | 195,065 | No | 4 | C | Indirect | By Frazier Healthcare VII-A, L.P. |
| Ordinary Shares | Acquisiton | 2018-05-30 | 44,940 | $0.00 | 240,005 | No | 4 | C | Indirect | By Frazier Healthcare VII-A, L.P. |
| Ordinary Shares | Acquisiton | 2018-05-30 | 101,150 | $13.00 | 341,155 | No | 4 | P | Indirect | By Frazier Healthcare VII-A, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Frazier Healthcare VII, L.P. |
| No | 4 | C | Indirect | By Frazier Healthcare VII, L.P. |
| No | 4 | C | Indirect | By Frazier Healthcare VII, L.P. |
| No | 4 | P | Indirect | By Frazier Healthcare VII, L.P. |
| No | 4 | C | Indirect | By Frazier Healthcare VII-A, L.P. |
| No | 4 | C | Indirect | By Frazier Healthcare VII-A, L.P. |
| No | 4 | C | Indirect | By Frazier Healthcare VII-A, L.P. |
| No | 4 | P | Indirect | By Frazier Healthcare VII-A, L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Series A Preferred Shares | Disposition | 2018-05-30 | 495,370 | $0.00 | 495,370 | $0.00 |
| Ordinary Shares | Series B-1 Preferred Shares | Disposition | 2018-05-30 | 189,141 | $0.00 | 189,141 | $0.00 |
| Ordinary Shares | Series B-2 Preferred Shares | Disposition | 2018-05-30 | 157,701 | $0.00 | 157,701 | $0.00 |
| Ordinary Shares | Series A Preferred Shares | Disposition | 2018-05-30 | 141,166 | $0.00 | 141,166 | $0.00 |
| Ordinary Shares | Series B-1 Preferred Shares | Disposition | 2018-05-30 | 53,899 | $0.00 | 53,899 | $0.00 |
| Ordinary Shares | Series B-2 Preferred Shares | Disposition | 2018-05-30 | 44,940 | $0.00 | 44,940 | $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 | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.
- These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The sole general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. disclaims Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any.
- The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.
- The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.
- These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The sole general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. disclaims Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any.
- Not applicable.
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