SEC Form 4 · accession 0001562180-15-000524
Eledon Pharmaceuticals, Inc. · ELDN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John S. McBride
Officer — Chief Operating Officer
Period of report
Jun 22, 2015
Accepted (ET)
Jun 24, 2015 · 4:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001404281
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 22, 2015 | M | 2,000 | $4.19 | A | 2,000 | D | |
| Common StockF2 | Jun 22, 2015 | S | 2,000 | $14.02 | D | 0 | D | |
| Common Stock | Jun 23, 2015 | M | 6,700 | $4.19 | A | 6,700 | D | |
| Common StockF3 | Jun 23, 2015 | S | 6,700 | $14.00 | D | 0 | D | |
| Common Stock | Jun 24, 2015 | M | 300 | $4.19 | A | 300 | D | |
| Common Stock | Jun 24, 2015 | S | 300 | $14.20 | D | 0 | 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)F4 | $4.19 | Jun 22, 2015 | M | 2,000 | D | — | Feb 25, 2024 | Common Stock | 2,000 | 207,178 | D |
| Stock Option (right to buy)F4 | $4.19 | Jun 23, 2015 | M | 6,700 | D | — | Feb 25, 2024 | Common Stock | 6,700 | 200,478 | D |
| Stock Option (right to buy)F4 | $4.19 | Jun 24, 2015 | M | 300 | D | — | Feb 25, 2024 | Common Stock | 300 | 200,178 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.11 inclusive. The Reporting Person undertakes to provide to 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 range.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.02 inclusive. The Reporting Person undertakes to provide to 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 range.
- F4This option vested with respect to 12.5% of the shares underlying the option on April 1, 2014 and vests with respect to an additional 2.0833% on the first day of each month thereafter through October 1, 2017.