SEC Form 4 · accession 0001209191-15-057211
Seres Therapeutics, Inc. · MCRB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David N Cook
Officer — See Remarks
Period of report
Jun 25, 2015
Accepted (ET)
Jun 29, 2015 · 6:03 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 StockF1 | Jun 26, 2015 | C | 45,454 | — | A | 229,673 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF1,F2 | — | Jun 26, 2015 | C | 45,454 | D | — | — | Common Stock | 45,454 | 0 | D |
| Stock Option (right to buy)F2 | $18.00 | Jun 25, 2015 | A | 90,000 | A | — | Jun 24, 2025 | Common Stock | 90,000 | 90,000 | D |
Explanation of responses
- F1The Series B Convertible Preferred Stock converted into Common Stock on a one-for-one basis and had no expiration date.
- F2The option will vest as to 25% of the shares on June 25, 2016. The remainder of the shares will vest in 12 equal quarterly installments thereafter.
Remarks
Chief Scientific Officer & Executive Vice President of Research and Development