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Filing Details

Accession Number:
0001209191-18-034404
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-31 16:54:17
Reporting Period:
2018-05-30
Accepted Time:
2018-05-31 16:54:17
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
1340806 K Vijay Lathi C/o New Leaf Ventures
7 Times Square, Suite 3502
New York NY 10036
No No Yes No
1547100 Liam Ratcliffe C/o New Leaf Ventures
7 Times Square, Suite 3502
New York NY 10036
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 2018-05-30 466,793 $0.00 466,793 No 4 C Indirect By New Leaf Ventures III, L.P.
Ordinary Shares Acquisiton 2018-05-30 178,230 $0.00 645,023 No 4 C Indirect By New Leaf Ventures III, L.P.
Ordinary Shares Acquisiton 2018-05-30 148,603 $0.00 793,626 No 4 C Indirect By New Leaf Ventures III, L.P.
Ordinary Shares Acquisiton 2018-05-30 278,062 $13.00 1,071,688 No 4 P Indirect By New Leaf Ventures III, L.P.
Ordinary Shares Acquisiton 2018-05-30 384,615 $13.00 384,615 No 4 P Indirect By New Leaf Biopharma Opportunities II, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By New Leaf Ventures III, L.P.
No 4 C Indirect By New Leaf Ventures III, L.P.
No 4 C Indirect By New Leaf Ventures III, L.P.
No 4 P Indirect By New Leaf Ventures III, L.P.
No 4 P Indirect By New Leaf Biopharma Opportunities II, 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 2018-05-30 466,793 $0.00 466,793 $0.00
Ordinary Shares Series B-1 Preferred Shares Disposition 2018-05-30 178,230 $0.00 178,230 $0.00
Ordinary Shares Series B-2 Preferred Shares Disposition 2018-05-30 148,603 $0.00 148,603 $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
  1. 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 for no additional consideration.
  2. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.
  3. 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 for no additional consideration.
  4. 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 for no additional consideration.
  5. These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors are the managing directors of NBPO-IIM and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors, NBPO-IIA and NBPO-IIM each disclaim Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of their respective pecuniary interest therein, if any.
  6. Not applicable.