SEC Form 4 · accession 0001104659-15-071605

Avalo Therapeutics, Inc. · AVTX

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

Reporting owner

Ronald Marcus

Officer — Chief Medical Officer

Period of report

Oct 20, 2015

Accepted (ET)

Oct 20, 2015 · 2:57 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001534120

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Oct 20, 2015	J	5,383	—	A	5,383	D
Common Stock^F2	Oct 20, 2015	P$0	16,924	—	A	22,307	D
Common Stock^F3	Oct 20, 2015	P$0	13,693	—	A	36,000	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F4	$6.49	Oct 20, 2015	A	15,000	A	—	Oct 19, 2024	Common Stock	15,000	15,000	D
Class A Warrant (Right to Buy)^F1	$4.55	Oct 20, 2015	J	5,383	A	—	Oct 20, 2018	Common Stock	5,383	5,383	D
Class B Warrant (Right to Buy)^F1	$3.90	Oct 20, 2015	J	5,383	A	—	Apr 20, 2017	Common Stock	2,692	5,383	D
Class A Warrant (Right to Buy)^F2	$4.55	Oct 20, 2015	P	16,924	A	—	Oct 20, 2018	Common Stock	16,924	22,307	D
Class B Warrant (Right to Buy)^F2	$3.90	Oct 20, 2015	P	16,924	A	—	Apr 20, 2017	Common Stock	8,462	22,307	D
Class A Warrant (Right to Buy)^F3	$4.55	Oct 20, 2015	P	13,693	A	—	Oct 20, 2018	Common Stock	13,693	36,000	D
Class B Warrant (Right to Buy)^F3	$3.90	Oct 20, 2015	P	13,693	A	—	Apr 20, 2017	Common Stock	6,847	36,000	D

Explanation of responses

F1The reported securities are included within 5,383 units issued upon the closing of the Issuer's initial public offering at the initial public offering price of $6.50 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable.
F2The reported securities are included within 16,924 units purchased by the reporting person for $6.40 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable.
F3The reported securities are included within 13,693 units purchased by the reporting person for $6.3943 per unit. Each unit consists of one share of Common Stock, one Class A Warrant to purchase one share of Common Stock and one Class B Warrant to purchase one-half share of Common Stock. The components of the units will begin to trade separately on the first trading day following the 60th day after the closing of the issuer's initial public offering, unless the Issuer's underwriters determine that an earlier date is acceptable
F4The Stock Option vests in four equal installments on October 20, 2016, 2017, 2018 and 2019.