SEC Form 4 · accession 0001209191-18-034208
Iterum Therapeutics plc · ITRM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shahzad Malik
Director
Period of report
May 30, 2018
Accepted (ET)
May 30, 2018 · 5:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001659323
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2 | May 30, 2018 | C | 13,921 | — | A | 13,921 | I | By Advent Life Sciences LLP |
| Ordinary SharesF3,F2 | May 30, 2018 | C | 7,771 | — | A | 21,692 | I | By Advent Life Sciences LLP |
| Ordinary SharesF2 | May 30, 2018 | P | 8,144 | $13.00 | A | 29,836 | I | By Advent Life Sciences LLP |
| Ordinary SharesF1,F4 | May 30, 2018 | C | 391,147 | — | A | 391,147 | I | By Advent Life Sciences Fund II LP |
| Ordinary SharesF3 | May 30, 2018 | C | 218,338 | — | A | 609,485 | I | By Advent Life Sciences Fund II LP |
| Ordinary Shares | May 30, 2018 | P | 228,840 | $13.00 | A | 838,325 | I | By Advent Life Sciences Fund II LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-1 Preferred SharesF2,F1,F5 | — | May 30, 2018 | C | 13,921 | D | — | — | Ordinary Shares | 13,921 | 0 | I |
| Series B-2 Preferred SharesF2,F3,F5 | — | May 30, 2018 | C | 7,771 | D | — | — | Ordinary Shares | 7,771 | 0 | I |
| Series B-1 Preferred SharesF4,F1,F5 | — | May 30, 2018 | C | 391,147 | D | — | — | Ordinary Shares | 391,147 | 0 | I |
| Series B-2 Preferred SharesF4,F3,F5 | — | May 30, 2018 | C | 218,338 | D | — | — | Ordinary Shares | 218,338 | 0 | I |
Explanation of responses
- F1The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.
- F2Securities are held by Advent Life Sciences LLP ("Advent"). The Reporting Person is a general partner of Advent, and disclaims beneficial ownership of the shares held by Advent except to the extent of his indirect pecuniary interest therein.
- F3The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.
- F4Securities are held by Advent Life Sciences Fund II LP. Advent is the general partner of Advent Life Sciences Fund II LP and the Reporting Person is a general partner of Advent. The Reporting Person disclaims beneficial ownership of the shares held by Advent Life Sciences Fund II LP except to the extent of his indirect pecuniary interest therein.
- F5Not applicable.