SEC Form 4 · accession 0000899243-17-025508

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 · 4:06 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	244,147	—	A	244,147	I	See Footnote
Common Stock^F2,F3	Nov 6, 2017	C	246,272	—	A	490,419	I	See Footnote
Common Stock^F2,F3	Nov 6, 2017	C	328,992	—	A	819,411	I	See Footnote
Common Stock^F2,F3	Nov 6, 2017	C	606,024	—	A	1,425,435	I	See Footnote
Common Stock^F1,F3	Nov 6, 2017	P	428,571	$14.00	A	1,854,006	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Junior preferred stock^F3,F2	—	Nov 6, 2017	C	1,483,784	D	—	—	Common Stock	244,147	I
Series A preferred stock^F3,F2	—	Nov 6, 2017	C	982,906	D	—	—	Common Stock	246,272	I
Series B preferred stock^F3,F2	—	Nov 6, 2017	C	1,250,000	D	—	—	Common Stock	328,992	I
Series C preferred stock^F3,F2	—	Nov 6, 2017	C	3,683,045	D	—	—	Common Stock	606,024	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.
F3S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.