SEC Form 4 · accession 0000899243-17-029325
Seres Therapeutics, Inc. · MCRB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John G. Aunins
Officer — Chief Technology Officer & EVP
Period of report
Dec 19, 2017
Accepted (ET)
Dec 20, 2017 · 4:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001609809
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 19, 2017 | M | 5,000 | — | A | 61,060 | D | |
| Common Stock | Dec 19, 2017 | S | 1,623 | $10.14 | D | 59,437 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Dec 19, 2017 | M | 5,000 | D | — | — | Common Stock | 5,000 | 15,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer common stock.
- F2These restricted stock units vest and settle as to 25% of the restricted stock units on December 19, 2017, 25% on June 19, 2018; and 50% on December 19, 2018.