SEC Form 4 · accession 0001104659-17-069923
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randal Jones
Director
Period of report
Nov 17, 2017
Accepted (ET)
Nov 21, 2017 · 4:04 pm EST
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 | holding | — | — | — | 2,592,458 | I | Fremantle Corporation |
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)F2 | $1.13 | Nov 17, 2017 | A | 16,714 | A | — | Nov 17, 2027 | Common Stock | 16,714 | 16,714 | D |
Explanation of responses
- F1Fremantle Corporation is the record holder of the securities. Randal Jones is the founder and principal of Fremantle Corporation and may be deemed to beneficially own the securities held by Fremantle Corporation. Mr. Jones disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.
- F2The grant shall vest one-third on each of the first, second and third anniversaries of the date of grant, provided Mr. Jones is then a director of the Company.