SEC Form 4 · accession 0001209191-18-034209

Iterum Therapeutics plc · ITRM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

May 30, 2018

Accepted (ET)

May 30, 2018 · 5:32 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 Shares^F1,F2	May 30, 2018	C	721,408	—	A	721,408	I	By Sofinnova Venture Partners IX, L.P.
Ordinary Shares^F3,F2	May 30, 2018	C	275,446	—	A	996,854	I	By Sofinnova Venture Partners IX, L.P.
Ordinary Shares^F4,F2	May 30, 2018	C	229,660	—	A	1,226,514	I	By Sofinnova Venture Partners IX, L.P.
Ordinary Shares^F2	May 30, 2018	P	500,000	$13.00	A	1,726,514	I	By Sofinnova Venture Partners IX, L.P.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Shares^F2,F1,F5	—	May 30, 2018	C	721,408	D	—	—	Ordinary Shares	721,408	I
Series B-1 Preferred Shares^F2,F3,F5	—	May 30, 2018	C	275,446	D	—	—	Ordinary Shares	275,446	I
Series B-2 Preferred Shares^F2,F4,F5	—	May 30, 2018	C	229,660	D	—	—	Ordinary Shares	229,660	I

F1The Series A 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.
F2These shares are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Fund. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by the Fund. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein, if any.
F3The 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.
F4The 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.
F5Not applicable.