SEC Form 4 · accession 0000899243-17-025507
Spero Therapeutics, Inc. · SPRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joel Sendek
Officer — Chief Financial Officer
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 StockF1 | Nov 6, 2017 | C | 10,181 | — | A | 10,181 | I | Joel D. Sendek Retained Annuity Trust No. 1 |
| Common StockF2 | Nov 6, 2017 | P | 5,000 | $14.00 | A | 15,181 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF1 | — | Nov 6, 2017 | C | 61,880 | D | — | — | Common Stock | 10,181 | 0 | I |
Explanation of responses
- F1Amount 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.
- F2Reflects shares that were purchased through a directed share program in connection with the Issuer's initial public offering.