SEC Form 4 · accession 0001104659-17-041898
Nabriva Therapeutics Legacy plc · NBRV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Colin Broom M.D.
Officer — Chief Executive Officer · Director
Period of report
Jun 23, 2017
Accepted (ET)
Jun 27, 2017 · 9:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001703287
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Jun 23, 2017 | J | 1,595 | $0.00 | A | 1,595 | D | |
| Ordinary Shares | Jun 23, 2017 | J | 155,817 | $0.00 | A | 155,817 | I | By grantor retained annuity trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2,F3 | — | Jun 23, 2017 | J | 158,270 | A | — | Jul 5, 2025 | Ordinary Shares | 158,270 | 158,270 | D |
| Stock OptionF4,F5 | — | Jun 23, 2017 | J | 196,900 | A | — | Jul 5, 2025 | Ordinary Shares | 196,900 | 196,900 | D |
| Stock OptionF6,F7 | — | Jun 23, 2017 | J | 151,000 | A | — | Feb 4, 2026 | Ordinary Shares | 151,000 | 151,000 | D |
| Stock OptionF8,F9 | — | Jun 23, 2017 | J | 261,000 | A | — | Feb 6, 2027 | Ordinary Shares | 261,000 | 261,000 | D |
Explanation of responses
- F1Reflects the beneficial ownership of the reporting person following the succession pursuant to Rule 12g-3(a) of the Securities Exchange Act of 1934, as amended, of Nabriva Therapeutics plc to Nabriva Therapeutics AG. The succession occurred following the conclusion, on June 23, 2017, of a tender offer related to the exchange of American depositary shares and common shares of Nabriva Therapeutics AG for ordinary shares of Nabriva Therapeutics plc.
- F2The exercise price is 6.618 Euro.
- F3This option was granted on July 6, 2015. Vesting began on August 31, 2014 and ends on August 31, 2018. Twenty-five percent (25%) of the option vested on August 31, 2015, and the remaining seventy-five percent (75%) vests on a monthly pro-rata basis over the remaining vesting period.
- F4The exercise price is 6.618 Euro.
- F5This option was granted on July 6, 2015. Vesting began on July 31, 2015 and ends on July 31, 2019. Twenty-five percent (25%) of the option vested on July 31, 2016, and the remaining seventy-five percent (75%) vests on a monthly pro-rata basis over the remaining vesting period.
- F6The exercise price is 7.445 Euro.
- F7This option was granted on February 5, 2016. Vesting began on February 29, 2016 and ends on February 29, 2020. Twenty-five percent (25%) of the option will vest on February 28, 2017, and the remaining seventy-five percent (75%) vests on a monthly pro-rata basis over the remaining vesting period.
- F8The exercise price is 7.963 Euro.
- F9This option was granted on February 7, 2017. Vesting began on February 28, 2017 and will end on February 28, 2021. Twenty-five percent (25%) of the option will vest on February 28, 2018, and the remaining seventy-five percent (75%) will vest on a monthly pro-rata basis over the remaining vesting period.