SEC Form 4 · accession 0001012975-16-001264
Seres Therapeutics, Inc. · MCRB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Noubar Afeyan
Director · 10% Owner
Edwin M Kania Jr.
10% Owner
Flagship Ventures Fund IV, L.P.
10% Owner
Flagship Ventures Fund 2007, L.P.
10% Owner
Flagship Ventures Fund IV-Rx, L.P.
10% Owner
Flagship VentureLabs IV, LLC
10% Owner
Period of report
May 25, 2016
Accepted (ET)
May 27, 2016 · 6:43 pm EDT
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 Stock, $0.001 par valueF1 | May 25, 2016 | S | 320,562 | $27.60 | D | 2,734,994 | I | See footnote |
| Common Stock, $0.001 par valueF2 | May 25, 2016 | S | 80,141 | $27.60 | D | 1,925,462 | I | See footnote |
| Common Stock, $0.001 par valueF3 | May 25, 2016 | S | 599,297 | $27.60 | D | 0 | I | See footnote |
| Common Stock, $0.001 par valueF5 | May 25, 2016 | J | 800,000 | $0.00 | D | 8,022,420 | I | See footnote |
| Common Stock, $0.001 par valueF7 | May 25, 2016 | J | 200,000 | $0.00 | D | 1,925,462 | I | See footnote |
| Common Stock, $0.001 par valueF5 | May 25, 2016 | J | 33,507 | $0.00 | A | 33,514 | I | See footnote |
| Common Stock, $0.001 par valueF7 | May 25, 2016 | J | 7 | $0.00 | A | 33,514 | I | See footnote |
| Common Stock, $0.001 par valueF11 | May 25, 2016 | J | 33,514 | $0.00 | D | 0 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Held by Flagship VentureLabs IV LLC ("Flagship VentureLabs"). Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") is a member of Flagship VentureLabs and also serves as its manager. Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship VentureLabs. Each of the filing persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.
- F10Distribution of shares in kind by Flagship Fund IV GP on a pro rata basis to its members.
- F11The shares are directly held by Flagship Fund IV GP. As such, each of Dr. Afeyan and Mr. Kania exercises shared voting and investment power over the shares held by Flagship Fund IV GP. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.
- F2Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship Fund IV GP is the general partner of Flagship IV-Rx. Dr. Afeyan and Mr. Kania are the managers of Flagship Fund IV GP and each of these managers may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.
- F3Held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 LLC") is the general partner of Flagship 2007. Dr. Afeyan and Mr. Kania are the managers of Flagship 2007 LLC and each of these managers may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.
- F4Distribution of shares in kind by Flagship Fund IV on a pro rata basis to its partners.
- F5The shares are directly held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Dr. Afeyan and Mr. Kania are the managers of Flagship Fund IV GP and each of these managers may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.
- F6Distribution of shares in kind by Flagship IV-Rx on a pro rata basis to its partners.
- F7The shares are directly held by Flagship IV-Rx. Flagship Fund IV GP is the general partner of Flagship IV-Rx. Dr. Afeyan and Mr. Kania are the managers of Flagship Fund IV GP and each of these managers may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.
- F8Flagship Fund IV GP received shares distributed in kind by Flagship Fund IV on a pro rata basis to its partners.
- F9Flagship Fund IV GP received shares distributed in kind by Flagship IV-Rx on a pro rata basis to its partners.