SEC Form 4 · accession 0000898432-17-001103
X4 Pharmaceuticals, Inc · XFOR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bill & Melinda Gates Foundation
10% Owner
Period of report
Nov 20, 2017
Accepted (ET)
Nov 20, 2017 · 7:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501697
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 20, 2017 | C | 722,179 | — | A | 722,179 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF1 | — | Nov 20, 2017 | C | 2,464,799 | D | — | — | Common Stock | 722,179 | 0 | D |
Explanation of responses
- F1Upon closing of the issuer's initial public offering, the Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.29300-for-1 basis without payment of further consideration. There was no expiration date for the Series D Convertible Preferred Stock.