SEC Form 4 · accession 0001729197-18-000003
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew V Phillips
Officer — Chief Commercial Officer
Period of report
Dec 10, 2018
Accepted (ET)
Dec 11, 2018 · 5:22 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 | Dec 10, 2018 | P | 497 | $2.8475 | A | 497 | D |
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 | holding | — | — | — | — | Nov 17, 2027 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (right to buy)F2 | $3.21 | holding | — | — | — | — | Jan 22, 2028 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.
- F2The grant shall vest one-fourth on each of the first, second, third and fourth anniversaries of the date of grant, provided Mr. Phillips is then an officer of the Company.