SEC Form 4 · accession 0000899243-17-027015

X4 Pharmaceuticals, Inc · XFOR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Nov 20, 2017

Accepted (ET)

Nov 20, 2017 · 5:42 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^F1	Nov 20, 2017	C	25,819	—	A	25,819	D
Common Stock^F2	Nov 20, 2017	C	98,562	—	A	124,381	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Convertible Preferred Stock^F1	—	Nov 20, 2017	C	51,813	D	—	—	Common Stock	25,819	0	D
Series D Convertible Preferred Stock^F2	—	Nov 20, 2017	C	336,393	D	—	—	Common Stock	98,562	0	D

F1The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F2The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.