SEC Form 4 · accession 0001209191-18-055168
Equillium, Inc. · EQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Bradbury
Officer — Chief Executive Officer · Director
Period of report
Oct 16, 2018
Accepted (ET)
Oct 16, 2018 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001746466
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 16, 2018 | J | 9,699 | $11.20 | A | 742,399 | I | By The Bradbury Family 2009 Irrevocable Trust Dated September 1, 2009 |
| Common StockF3 | Oct 16, 2018 | J | 38,796 | $11.20 | A | 2,969,596 | I | By BioBrit, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In connection with the closing of the initial public offering of the Issuer's common stock (the "IPO"), a convertible promissory note of the Issuer beneficially owned by the Reporting Person in the principal amount of $102,433.00, plus $6,196.49 accrued interest, automatically converted into shares of the Issuer's common stock at a conversion price of $11.20 per share.
- F2In connection with the closing of the IPO, a convertible promissory note of the Issuer beneficially owned by the Reporting Person in the principal amount of $409,732.00, plus $24,785.98 accrued interest, automatically converted into shares of the Issuer's common stock at a conversion price of $11.20 per share.
- F3These securities are held by BioBrit, LLC for which the Reporting Person is the managing member.