SEC Form 4 · accession 0001140361-15-036951
SYNLOGIC, INC. · SYBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence M Alleva
Director
Period of report
Oct 5, 2015
Accepted (ET)
Oct 6, 2015 · 1:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001527599
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 5, 2015 | C | 3,818 | — | A | 3,818 | I | See Footnote |
| Common StockF3,F2 | Oct 6, 2015 | J | 207 | $0.00 | A | 4,025 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Preferred StockF1,F2,F4 | — | Oct 5, 2015 | C | 3,818 | D | — | — | Common Stock | 3,818 | 0 | I |
Explanation of responses
- F1Each share of Series D Preferred Stock automatically converted on a one-to-one basis into Common Stock upon the consummation of the Issuer's initial public offering.
- F2The shares are held by the Lawrence M. Alleva Profit Sharing Plan.
- F3The shares were issued for no additional consideration pursuant to an accruing paid-in-kind dividend on shares of Series D Preferred Stock of the Company.
- F4The expiration date is not relevant to the conversion of these securities.