SEC Form 3 · accession 0000899243-17-026372
X4 Pharmaceuticals, Inc · XFOR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eszter Nagy
Officer — Chief Scientific Officer · 10% Owner
Period of report
Nov 15, 2017
Accepted (ET)
Nov 15, 2017 · 5:04 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 Stock | holding | — | — | — | 273,464 | 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)F1 | $1.85 | holding | — | — | — | — | Apr 18, 2023 | Common Stock | 71,491 | — | D |
| Stock Option (right to buy)F2 | $9.39 | holding | — | — | — | — | Jul 19, 2026 | Common Stock | 29,299 | — | D |
| Stock Option (right to buy)F3 | $4.00 | holding | — | — | — | — | Jun 18, 2027 | Common Stock | 43,949 | — | D |
Explanation of responses
- F1This option fully vested on September 1, 2014.
- F2This option was granted on July 20, 2016 and immediately vested as to 40% of the original 29,299 shares underlying the option, with 3.4483% of the original 29,299 shares vesting monthly thereafter until the date that is 29 months following the grant date, subject to continued service.
- F3This option was granted on June 19, 2017 and vests over four years, with 25% of the original 43,949 shares underlying the option vesting on June 19, 2018 and 2.0833% of the original 43,949 shares vesting monthly thereafter, subject to continued service.
Remarks
Exhibit Index: 24.1 Power of Attorney