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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
STOCK OPTION (RIGHT TO BUY) | $ 0.71 | 06/25/2018 | M | 16,288 | (5) | 08/07/2024 | COMMON STOCK | 16,288 | $ 0 | 895,153 | D | ||||
STOCK OPTION (RIGHT TO BUY) | $ 0.71 | 06/26/2018 | M | 21,224 | (5) | 08/07/2024 | COMMON STOCK | 21,224 | $ 0 | 873,929 | D | ||||
STOCK OPTION (RIGHT TO BUY) | $ 0.71 | 06/27/2018 | M | 16,991 | (5) | 08/07/2024 | COMMON STOCK | 16,991 | $ 0 | 856,938 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pomerantz Roger C/O SERES THERAPEUTICS, INC. 200 SIDNEY STREET CAMBRIDGE, MA 02139 |
X | President and CEO |
/s/ Thomas J. DesRosier, Attorney-in-Fact | 06/27/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. |
(2) | The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $9.08 to $9.52. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(3) | The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.365. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(4) | The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.16. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(5) | The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter. |