SEC Form 4 · accession 0001209191-15-057225
Seres Therapeutics, Inc. · MCRB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 26, 2015
Accepted (ET)
Jun 29, 2015 · 6:12 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 valueF3,F1 | Jun 26, 2015 | C | 3,611,111 | — | A | 5,555,555 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF1,F2 | — | Jun 26, 2015 | C | 3,611,111 | D | — | — | Common Stock | 3,611,111 | 0 | I |
Explanation of responses
- F1Held by Nestle Health Science US Holdings, Inc. Nestle Health Science US Holdings, Inc. is a wholly owned, indirect subsidiary of NIMCO US, Inc., which is a wholly ownd subsidiary of Nestle S.A., a publically traded company. Each of these entities may be deemed to share voting and investment power with respect to all shares held by Nestle Health Science US Holdings, Inc. Eahc of the filing entities disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.
- F2The Series D Preferred Stock converted into Common Stock on a 1-for-1 basis upon the listing of the issuer's shares on The NASDAQ Global Select Market. The Series D Preferred Stock had no expiration date.
- F3Not applicable.