SEC Form 4 · accession 0001746282-18-000004
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph M Miller
Officer — Chief Financial Officer
Period of report
Jul 12, 2018
Accepted (ET)
Jul 16, 2018 · 5:12 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 | Jul 12, 2018 | A | 45,000 | $0.00 | A | 45,000 | 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 | $4.50 | Jul 12, 2018 | A | 105,000 | A | Jul 12, 2019 | Jul 11, 2028 | Common Stock | 105,000 | 105,000 | D |
Explanation of responses
- F1Represents restricted stock units that vest in four equal annual installments beginning on July 12, 2019, provided the Reporting Person is then an officer of the Issuer on each such vesting date.
- F2The stock options will vest 25% on July 12, 2019, and the remaining 75% of the shares subject to the stock option shall vest in 36 equal monthly installments beginning on August 12, 2019, provided the Reporting Person is then an officer of the Issuer on each such vesting date.