SEC Form 4 · accession 0001104659-15-071609
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Seth Loring Harrison
Director · 10% Owner
Apple Tree Partners IV, L.P.
Director · 10% Owner
ATP III GP, Ltd.
Director · 10% Owner
Period of report
Oct 20, 2015
Accepted (ET)
Oct 20, 2015 · 2:59 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 20, 2015 | C | 595,436 | — | A | 595,436 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF2,F1 | — | Oct 20, 2015 | C | 16,672,224 | D | — | — | Common Stock | 595,436 | 0 | D |
Explanation of responses
- F1The shares of Series B Convertible Preferred Stock (the "Series B Shares") automatically converted into Common Stock on a 1-for-0.03571 basis and had no expiration date.
- F2These shares are held by Apple Tree Partners IV, L.P. ("ATP IV"). ATP III GP, Ltd. (the "GP") is the sole general partner of ATP IV. Dr. Seth L. Harrison is the sole director of the GP. Dr. Seth L. Harrison disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.