SEC Form 4 · accession 0001104659-16-139279
MetaVia Inc. · MTVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pedro Lichtinger
Director
Period of report
Aug 10, 2016
Accepted (ET)
Aug 12, 2016 · 1:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001638287
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 10, 2016 | C | 39,274 | $6.7059 | A | 39,274 | D | |
| Common Stock | Aug 10, 2016 | P | 10,000 | $10.00 | A | 49,274 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 8% Convertible Subordinated Promissory NoteF1 | $6.7059 | Aug 10, 2016 | C | — | D | — | — | Common Stock | 39,274 | 0 | D |
Explanation of responses
- F1The note was issued in the original principal amount of $250,000. The outstanding principal and $13,370 of accrued interest on the note automatically converted into shares of Common Stock immediately prior to the closing of the Company's initial public offering.