SEC Form 4 · accession 0001209191-18-034622
Iterum Therapeutics plc · ITRM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Chin
Director
Period of report
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 3:37 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 | 445,576 | — | A | 445,576 | I | By Arix Bioscience Holdings Ltd. |
| Ordinary SharesF3,F2 | May 30, 2018 | C | 248,721 | — | A | 694,297 | I | By Arix Bioscience Holdings Ltd. |
| Ordinary SharesF2 | May 30, 2018 | P | 337,606 | $13.00 | A | 1,031,903 | I | By Arix Bioscience Holdings Ltd. |
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,F4 | — | May 30, 2018 | C | 445,576 | D | — | — | Ordinary Shares | 445,576 | 0 | I |
| Series B-2 Preferred SharesF2,F3,F4 | — | May 30, 2018 | C | 248,721 | D | — | — | Ordinary Shares | 248,721 | 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.
- F2The Reporting Person is an Investment Director for By Arix Bioscience Holdings Ltd.
- 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.
- F4Not applicable.