SEC Form 4 · accession 0001209191-16-148718
ALBIREO PHARMA, INC. · ALBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jan Mattsson
Officer — Chief Operating Officer
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 6:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001322505
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 3, 2016 | A | 59,214 | $0.00 | A | 59,214 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F3 | $1.00 | Nov 3, 2016 | A | 39,330 | A | — | Mar 18, 2021 | Common Stock | 39,330 | 39,330 | D |
Explanation of responses
- F1Represents shares of common stock of Albireo Pharma, Inc. (the "Issuer"), formerly known as Biodel Inc., issued in the share exchange transaction that was completed on November 3, 2016 pursuant to an Amended and Restated Share Exchange Agreement, dated as of July 13, 2016, by and among Biodel Inc., Albireo Limited ("Albireo") and the holders of Albireo shares and notes convertible into Albireo shares.
- F2This option was issued in replacement of a warrant to purchase shares of Albireo Limited.
- F3This option vests and becomes exercisable as to 33.33% of the underlying shares on the grant date and the remainder in 32 equal installments on the first day of each calendar month beginning with December 1, 2016 and ending July 1, 2019.