SEC Form 4 · accession 0002111813-26-000009
Faeth Therapeutics, Inc. · FTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anand Kiran Parikh
Officer — President and CEO · Director
Period of report
Jun 15, 2026
Accepted (ET)
Jun 16, 2026 · 4:38 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001829802
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jun 15, 2026 | C | 761,428 | — | A | 761,428 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF1,F2,F3 | — | Jun 15, 2026 | C | 761 | D | — | — | Common Stock | 761,428 | 0 | D |
Explanation of responses
- F1Subject to certain conditions set forth in the Certificate of Designation of Preferences, Rights and Limitations of the Series B Preferred Stock, each share of Series B Preferred Stock is convertible into 1,000 shares of the Issuer's Common Stock and has no expiration date.
- F2Pursuant to February 17, 2026 Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Sapphire First Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of the Issuer ("First Merger Sub"), Sapphire Second Merger Sub, LLC, a Delaware limited liability company and wholly owned subsidiary of the Issuer ("Second Merger Sub"), Faeth Holdings Therapeutics, Inc. ("HoldCo") and Faeth Therapeutics, LLC, a Delaware limited liability company and wholly owned subsidiary of HoldCo ("Faeth"), First Merger Sub merged with and into HoldCo, with HoldCo surviving the first merger as a wholly owned subsidiary of the Issuer, and immediately following the first merger, HoldCo merged with and into Second Merger Sub, with Second Merger Sub surviving the second merger as a wholly owned subsidiary of the Issuer (such mergers, the "Merger").
- F3Footnote continued: Upon the closing of the Merger, shares of outstanding common stock of HoldCo were converted into the right to receive 761.428 shares of the Issuer's Series B Preferred Stock.