SEC Form 4 · accession 0000899243-18-031411
Seres Therapeutics, Inc. · MCRB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John G. Aunins
Officer — Chief Technology Officer & EVP
Period of report
Dec 17, 2018
Accepted (ET)
Dec 19, 2018 · 4:11 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 STOCKF2 | Dec 17, 2018 | S | 14,282 | $6.3936 | D | 75,250 | D | |
| COMMON STOCKF3 | Dec 19, 2018 | M | 10,000 | — | A | 85,250 | 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 UNITSF3,F4 | — | Dec 19, 2018 | M | 10,000 | D | — | — | COMMON STOCK | 10,000 | 0 | D |
Explanation of responses
- F1The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $6.2100 to $6.5900. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3Each restricted stock unit represents right to receive one share of Issuer common stock.
- F4These restricted stock units have vested and settled as to 25% of the restricted stock units on December 19, 2017, 25% on June 19, 2018; and 50% on December 19, 2018.