SEC Form 3 · accession 0001567619-18-004304
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
May 15, 2018
Accepted (ET)
Oct 18, 2018 · 5:08 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 | holding | — | — | — | 3,767,442 | I | By Fremantle, LLC |
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)F2 | $4.29 | holding | — | — | — | Mar 31, 2018 | Aug 15, 2018 | Common Stock | 2,056 | — | D |
| Employee Stock Option (Right to Buy)F2 | $3.20 | holding | — | — | — | Dec 31, 2017 | Aug 15, 2018 | Common Stock | 1,270 | — | D |
Explanation of responses
- F1Fremantle, LLC, fka Fremantle Corporation ("Fremantle") is the record holder of the securities. Randal Jones is the founder and principal of Fremantle and may be deemed to beneficially own the securities held by Fremantle. The Reporting Persons disclaim beneficial ownership of the securities except to the extent of their pecuniary interest therein.
- F2These securities are directly owned by Randal Jones, who is a Reporting Person. Pursuant to the Cerecor, Inc. Amended and Restated 2016 Equity Incentive Plan, as a result of Randal Jones' resignation from the Board of Directors of Cerecor, Inc. on May 15, 2018, the expiration date of the options became August 15, 2018.