SEC Form 4 · accession 0001104659-15-071610
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Ansbert Gadicke
10% Owner
Luke Evnin
10% Owner
Vaughn M Kailian
10% Owner
James Paul Scopa
10% Owner
Todd Foley
10% Owner
MPM BIOVENTURES V GP LLC
10% Owner
MPM BIOVENTURES V LLC
10% Owner
MPM BIOVENTURES V, L.P.
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 | 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 B Convertible Preferred StockF2,F1 | — | Oct 20, 2015 | C | 16,672,224 | D | — | — | Common Stock | 595,436 | 0 | I |
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.
- F2The shares are held as follows: 573,170 by MPM BioVentures V, L.P. ("BV V") and 22,266 by MPM Asset Management Investors BV5 LLC ("AM BV5"). MPM BioVentures V GP LLC ("BV GP") is the general partner of BV V. MPM BioVentures V LLC ("BV LLC") is the managing member of BV GP and AM BV5. Ansbert Gadicke, Luke Evnin, Vaughn M. Kailian, James Paul Scopa and Todd Foley are the members of BV LLC. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.