Filing Details

Accession Number:
0001062993-21-011395
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-22 19:13:22
Reporting Period:
2021-11-18
Accepted Time:
2021-11-22 19:13:22
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1828522 Effector Therapeutics Inc. EFTR () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1225480 D Jonathan Root 1460 El Camino Real
Suite 100
Menlo Park CA 94025
Yes 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 Disposition 2021-11-18 16,226 $8.53 4,549,398 No 4 S Indirect Directly owned by USVP X
Common Stock Disposition 2021-11-18 519 $8.53 145,544 No 4 S Indirect Directly owned by AFF X
Common Stock Disposition 2021-11-19 7,017 $8.12 4,542,381 No 4 S Indirect Directly owned by USVP X
Common Stock Disposition 2021-11-19 224 $8.12 145,320 No 4 S Indirect Directly owned by AFF X
Common Stock Disposition 2021-11-22 25,371 $7.86 4,517,010 No 4 S Indirect Directly owned by USVP X
Common Stock Disposition 2021-11-22 812 $7.86 144,508 No 4 S Indirect Directly owned by AFF X
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect Directly owned by USVP X
No 4 S Indirect Directly owned by AFF X
No 4 S Indirect Directly owned by USVP X
No 4 S Indirect Directly owned by AFF X
No 4 S Indirect Directly owned by USVP X
No 4 S Indirect Directly owned by AFF X
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.01 to $9.12; inclusive for sales on 11/18/21; prices ranging from $8.04 to $8.24, inclusive for sales on 11/19/21; and prices ranging from $7.75 to $8.06, inclusive for sales on 11/22/21. The reporting persons undertake to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4
  2. Presidio Management Group X, L.L.C. ("PMG X"), the general partner of each of U.S. Venture Partners X, L.P. ("USVP X") and USVP X Affiliates L.P. ("AFF X") (together, the "USVP X Funds"), has sole voting and dispositive power with respect to the shares held by the USVP X Funds. The Reporting Person is a managing member of PMG X with additional rights with respect to the Issuer securities, and may be deemed to have sole voting and dispositive power with respect to the shares. The Reporting Person disclaims beneficial ownership of shares held by the USVP X Funds, except to the extent of any proportionate pecuniary interest therein.