SEC Form 4 · accession 0001140361-16-068620
Achaogen, Inc. · AKAO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blake Wise
Officer — Chief Operating Officer
Period of report
Jun 3, 2016
Accepted (ET)
Jun 3, 2016 · 6:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001301501
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 31, 2016 | A | 3,000 | $2.79 | A | 50,350 | D | |
| Common StockF3 | Jun 3, 2016 | A | 141,453 | $3.15 | A | 141,453 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy)F3 | $3.66 | Jun 3, 2016 | A | 35,363 | A | Jun 3, 2016 | Jun 3, 2021 | Common Stock | 35,363 | 35,363 | I |
Explanation of responses
- F1The shares were acquired under the Issuer's Employee Stock Purchase Plan on May 31, 2016.
- F2Acquired from the issuer pursuant to a Securities Purchase Agreement dated June 1, 2016, with a closing date of June 3, 2016.
- F3The shares are held directly by the Blake A. Wise Living Trust.