UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | Â (1) | 06/25/2025 | Common Stock | 40,000 | $ 18 | D | Â |
Stock Option (Right to Buy) | Â (2) | 01/31/2026 | Common Stock | 12,500 | $ 26.2 | D | Â |
Stock Option (Right to Buy) | Â (3) | 01/25/2027 | Common Stock | 30,000 | $ 9.89 | D | Â |
Restricted Stock Units | Â (4) | Â (5) | Common Stock | 7,500 | $ (6) | D | Â |
Stock Option (Right to Buy) | Â (7) | 01/29/2028 | Common Stock | 60,000 | $ 10.42 | D | Â |
Stock Option (Right to Buy) | Â (8) | 01/24/2029 | Common Stock | 73,500 | $ 6.01 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Henn Matthew R. C/O SERES THERAPEUTICS, INC. 200 SIDNEY STREET CAMBRIDGE, MA 02139 |
 |  |  Chief Scientific Officer |  |
/s/ Eric D. Shaff, Attorney-in-fact | 02/11/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 option has vested as to 25% of the shares on June 26, 2016. The remainder of the shares will vest or have vested in 12 equal quarterly installments thereafter. |
(2) | The option has vested as to 25% of the shares on February 1, 2017. The remainder of the shares will vest or have vested in 12 equal quarterly installments thereafter. |
(3) | The option has vested as to 25% of the shares on January 26, 2018. The remainder of the shares will vest or have vested in 12 equal quarterly installments thereafter. |
(4) | These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020. |
(5) | Not applicable. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. |
(7) | The option has vested as to 25% of the shares on January 30, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter. |
(8) | The option vests as to 25% of the shares on January 25, 2020. The remainder of the shares will vest in 12 equal quarterly installments thereafter. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |