SEC Form 4 · accession 0000899243-17-025505

Spero Therapeutics, Inc. · SPRO

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

Reporting owner

Director

Period of report

Nov 6, 2017

Accepted (ET)

Nov 7, 2017 · 4:05 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001701108

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2,F3	Nov 6, 2017	C	289,102	—	A	289,102	I	Lundbeckfond Invest A/S
Common Stock^F2,F3	Nov 6, 2017	C	179,450	—	A	468,552	I	Lundbeckfond Invest A/S
Common Stock^F2,F3	Nov 6, 2017	C	408,937	—	A	877,489	I	Lundbeckfond Invest A/S
Common Stock^F1,F3	Nov 6, 2017	P	214,285	$14.00	A	1,091,774	I	Lundbeckfond Invest A/S

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F3,F2	—	Nov 6, 2017	C	1,153,846	D	—	—	Common Stock	289,102	I
Series B Preferred Stock^F3,F2	—	Nov 6, 2017	C	681,818	D	—	—	Common Stock	179,450	I
Series C Preferred Stock^F3,F2	—	Nov 6, 2017	C	2,485,272	D	—	—	Common Stock	408,937	I

F1Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering.
F2Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date.
F3Shares held by Lundbeckfond Invest A/S. The Reporting Person shares voting and investment power with respect to the shares held by Lundbeckfond Invest A/S and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.