SEC Form 4/A · accession 0001209191-18-016565
X4 Pharmaceuticals, Inc · XFOR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Carl L Gordon
Director
Period of report
Nov 15, 2017
Accepted (ET)
Mar 5, 2018 · 4:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501697
Table I — non-derivative securities
No Table I lines on this filing.
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,F2 | $10.00 | Nov 15, 2017 | A | 25,000 | A | — | Nov 14, 2027 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.
- F2The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.