SEC Form 3 · accession 0001104659-16-164575
Nabriva Therapeutics plc · NBRV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chau Quang Khuong
Director · 10% Owner
Period of report
Dec 30, 2016
Accepted (ET)
Dec 30, 2016 · 4:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001641640
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2,F3 | holding | — | — | — | 167,794 | I | See footnotes | |
| Common SharesF3,F4 | holding | — | — | — | 224,166 | I | See footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF6,F5 | — | holding | — | — | — | — | Aug 25, 2026 | Common Shares | 1,010 | — | D |
Explanation of responses
- F1Represented by 1,677,940 American Depositary Shares ("ADSs").
- F2These shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of OrbiMed Capital GP V LLC ("GP V"), which is the sole general partner of OPI V, which is the majority member of OrbiMed Private Investments V Cooperatief U.A. ("OPI V Cooperatief"), which is the sole shareholder of OrbiMed Private Investments V-NB B.V. ("OPI V- NB"). OPI V and OPI V-NB hold ADSs and Common Shares, respectively, as described herein. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of Advisors and owns a controlling interest in Advisors.
- F3The Reporting Person, an employee of Advisors, has been designated by Advisors to serve on the issuer's board of directors and disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act") except to the extent of his pecuniary interest therein, if any. This report on Form 3 shall not be deemed any admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purpose.
- F4These shares are held of record by OPI V-NB.
- F5This option was granted on August 26, 2016. Vesting began on August 31, 2016 and ends on August 31, 2017. One hundred percent (100%) of the option will vest on August 31, 2017.
- F6The exercise price is 66.34 Euro.
Remarks
Exhibit Index: 24.1 - Power of Attorney