SEC Form 4 · accession 0001596771-17-000020
MetaVia Inc. · MTVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R. Gullans Ph.D.
Director
Period of report
Mar 10, 2017
Accepted (ET)
Mar 14, 2017 · 5:33 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 StockF1,F2 | Mar 10, 2017 | P | 52,798 | $9.47 | A | 858,823 | I | Held by Excel Venture Fund II, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1,F2 | $10.40 | Mar 10, 2017 | P | 39,599 | A | Mar 10, 2017 | Mar 15, 2022 | Common Stock | 39,599 | 39,599 | I |
Explanation of responses
- F1The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.
- F2The reporting person, as the Manager of Excel Venture Fund II, L.P., beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.