SEC Form 4 · accession 0001209191-18-055170
Equillium, Inc. · EQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce D. Steel
Officer — President, CBO · Director
Period of report
Oct 16, 2018
Accepted (ET)
Oct 16, 2018 · 5:51 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 | 48,495 | $11.20 | A | 48,495 | D | |
| Common Stock | holding | — | — | — | 3,232,500 | I | By Bruce D. Steel, as trustee of the Steel Family Revocable Trust dated June 5, 2002 | |
| Common Stock | holding | — | — | — | 431,000 | I | By Kevin N. Steel, as trustee of the Sierra Kathleen Steel Trust of January 1, 2005 |
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, a convertible promissory note of the Issuer held by the Reporting Person in the principal amount of $512,164.00, plus $30.982.41 accrued interest, automatically converted into shares of the Issuer's common stock at a conversion price of $11.20 per share.