SEC Form 4 · accession 0001596771-17-000023
MetaVia Inc. · MTVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andy Sassine
Director
Period of report
Mar 10, 2017
Accepted (ET)
Mar 14, 2017 · 6:07 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 | Mar 10, 2017 | P | 21,119 | $9.47 | A | 136,264 | D |
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 | $10.40 | Mar 10, 2017 | P | 15,840 | A | Mar 10, 2017 | Mar 15, 2022 | Common Stock | 15,840 | 15,840 | D |
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.