Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Morphic Holding, Inc.MORF · Entity 88114 | Director | March 05, 2021 | March 08, 2021 |
| Spero Therapeutics, Inc.SPRO · Entity 7014 | Director | November 06, 2017 | November 07, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Morphic Holding, Inc.
Report date March 05, 2021 · Filed March 08, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,000 |
Reported balance
After 2021-03-05 transaction · row 1
1 source rowRow 1 · 2021-03-05 · Purchase · Acquired 1,000 · Balance 1,000 |
Spero Therapeutics, Inc.
Report date November 06, 2017 · Filed November 07, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,854,006 |
Last balance in matching sequence
After 2017-11-06 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2017-11-06 · Conversion · Acquired 244,147 · Balance 244,147 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Row 2 · 2017-11-06 · Conversion · Acquired 246,272 · Balance 490,419 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Row 3 · 2017-11-06 · Conversion · Acquired 328,992 · Balance 819,411 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Row 4 · 2017-11-06 · Conversion · Acquired 606,024 · Balance 1,425,435 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Row 5 · 2017-11-06 · Purchase · Acquired 428,571 · Balance 1,854,006 F1: Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| Junior preferred stockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-11-06 · Conversion · Disposed 1,483,784 · Balance 0 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| Series A preferred stockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-11-06 · Conversion · Disposed 982,906 · Balance 0 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| Series B preferred stockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-06 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-11-06 · Conversion · Disposed 1,250,000 · Balance 0 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| Series C preferred stockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-06 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2017-11-06 · Conversion · Disposed 3,683,045 · Balance 0 F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering.
F2: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date.
F3: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Pandion Therapeutics, Inc.
Report date April 01, 2021 · Filed April 01, 2021
Section 16 reporting ended · disclosed 2021-04-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-04-01 transaction · row 1
1 source rowRow 1 · 2021-04-01 · Other · Disposed 87,764 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2030-07-16 | Direct | 0 |
Reported balance
After 2021-04-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-04-01 · Disposition to issuer · Disposed 28,227 · Balance 0 F3: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option. F2: All options were vested and exercisable as of immediately prior to the Effective Time. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.75 · Expires 2031-02-07 | Direct | 0 |
Reported balance
After 2021-04-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-04-01 · Disposition to issuer · Disposed 73,789 · Balance 0 F3: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option. F2: All options were vested and exercisable as of immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price.
F2: All options were vested and exercisable as of immediately prior to the Effective Time.
F3: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 01, 2021 Filed Apr 1, 2021 19:58 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 73,789 | Not disclosed Strike: $17.75 | Not disclosed |
DisclosureSEC source: 0000899243-21-014466 · doc4.xml · derivative · entry 3 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 73,789 shares Expires 2031-02-07 F3 · price: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option. F2 · derivative.exercise_date: All options were vested and exercisable as of immediately prior to the Effective Time. Read SEC document |
| April 01, 2021 Filed Apr 1, 2021 19:58 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 28,227 | Not disclosed Strike: $18.00 | Not disclosed |
DisclosureSEC source: 0000899243-21-014466 · doc4.xml · derivative · entry 2 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,227 shares Expires 2030-07-16 F3 · price: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option. F2 · derivative.exercise_date: All options were vested and exercisable as of immediately prior to the Effective Time. Read SEC document |
| April 01, 2021 Filed Apr 1, 2021 19:58 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | OtherCommon Stock | 87,764 | $60.00 | $5,265,840.00 |
DisclosureSEC source: 0000899243-21-014466 · doc4.xml · nonDerivative · entry 1 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. Read SEC document |
| March 05, 2021 Filed Mar 8, 2021 19:10 UTC | Morphic Holding, Inc. MORF · Entity 88114 | PurchaseCommon Stock | 1,000 | $70.00 | $70,000.00 |
DisclosureSEC source: 0001209191-21-018758 · doc4.xml · nonDerivative · entry 1 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 16:41 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | GrantStock Option (right to buy) · Derivative | 73,789 | $0.00 Strike: $17.75 | $0.00 |
DisclosureSEC source: 0000899243-21-005681 · doc4.xml · derivative · entry 1 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,789 Underlying: Common Stock · 73,789 shares Expires 2031-02-07 F1 · derivative.exercise_date: This option award was granted on February 8, 2021. 1/4 of the shares underlying the award shall vest on February 8, 2022, with the remainder of the shares vesting in equal monthly installments following February 8, 2022 through February 8, 2025, subject to the reporting person's continued service on each applicable vesting date. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | ConversionSeries B Preferred Stock · Derivative | 35,922 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019873 · doc4.xml · derivative · entry 6 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,044 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | PurchaseCommon Stock | 1,450 | $18.00 | $26,100.00 |
DisclosureSEC source: 0000899243-20-019873 · doc4.xml · nonDerivative · entry 2 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,764 F2 · shares: Represents shares purchased through a directed share program in connection with the initial public offering of Pandion Therapeutics, Inc.'s common stock, which closed on July 21, 2020. These shares of common stock were purchased at the public offering price of $18.00 per share. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | ConversionCommon Stock | 7,044 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019873 · doc4.xml · nonDerivative · entry 1 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,314 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | GrantStock Option (right to buy) · Derivative | 10,486 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019873 · doc4.xml · derivative · entry 5 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,486 Underlying: Common Stock · 10,486 shares Expires 2030-07-16 F5 · derivative.exercise_date: This option award was granted on June 25, 2020. 1/4 of the shares underlying the award shall vest on June 25, 2021, with the remainder of the shares vesting in equal monthly installments following June 25, 2021 through June 25, 2024, subject to the reporting person's continued service on each applicable vesting date. Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | GrantStock Option (right to buy) · Derivative | 13,935 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019873 · doc4.xml · derivative · entry 4 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,935 Underlying: Common Stock · 13,935 shares Expires 2030-07-16 F4 · derivative.exercise_date: This option award was granted on July 17, 2020. 1/4 of the shares underlying the award shall vest on May 21, 2021, with the remainder of the shares vesting in equal monthly installments following May 21, 2021 through May 21, 2024, subject to the reporting person's continued service on each applicable vesting date. Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | GrantStock Option (right to buy) · Derivative | 3,806 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019873 · doc4.xml · derivative · entry 3 Goyal Vikas · CIK 0001721017 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,806 Underlying: Common Stock · 3,806 shares Expires 2030-07-16 F3 · derivative.exercise_date: This option award was granted on July 17, 2020. 1/4 of the shares underlying the award shall vest on August 1, 2020, with the remainder of the shares vesting in equal monthly installments following August 1, 2020 through August 1, 2023, subject to the reporting person's continued service on each applicable vesting date. Read SEC document |
| June 18, 2020 Filed Jun 19, 2020 18:25 UTC | Morphic Holding, Inc. MORF · Entity 88114 | GrantDirector Stock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $22.96 | $0.00 |
DisclosureSEC source: 0001209191-20-038053 · doc4.xml · derivative · entry 1 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option will vest in full on June 18, 2021, subject to the reporting person's provision of service to the issuer on the vesting date. Read SEC document |
| August 01, 2019 Filed Aug 2, 2019 16:17 UTC | Morphic Holding, Inc. MORF · Entity 88114 | GrantStock Option (right to buy Common Stock) · Derivative | 24,000 | $0.00 Strike: $22.80 | $0.00 |
DisclosureSEC source: 0001179110-19-009026 · edgar.xml · derivative · entry 1 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2029-08-01 F1 · derivative.exercise_date: The option vests as to 25% of the total shares on June 26, 2020, and then 9.375% of the remaining shares shall vest quarterly thereafter, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:23 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionSeries B Preferred Stock · Derivative | 830,489 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008261 · edgar.xml · derivative · entry 5 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R. One, Limited Disclosed balance after: 0 Underlying: Common Stock · 830,489 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Vikas Goyal holds the title of Principal at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:23 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionSeries A Preferred Stock · Derivative | 1,469,950 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008261 · edgar.xml · derivative · entry 4 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R. One, Limited Disclosed balance after: 0 Underlying: Common Stock · 1,469,950 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Vikas Goyal holds the title of Principal at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:23 UTC | Morphic Holding, Inc. MORF · Entity 88114 | PurchaseCommon Stock | 333,333 | $15.00 | $4,999,995.00 |
DisclosureSEC source: 0001179110-19-008261 · edgar.xml · nonDerivative · entry 3 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R. One, Limited Disclosed balance after: 2,633,772 F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Vikas Goyal holds the title of Principal at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:23 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionCommon Stock | 830,489 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008261 · edgar.xml · nonDerivative · entry 2 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R. One, Limited Disclosed balance after: 2,300,439 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Vikas Goyal holds the title of Principal at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:23 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionCommon Stock | 1,469,950 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008261 · edgar.xml · nonDerivative · entry 1 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R. One, Limited Disclosed balance after: 1,469,950 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Vikas Goyal holds the title of Principal at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionSeries C preferred stock · Derivative | 3,683,045 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · derivative · entry 9 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 606,024 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionSeries B preferred stock · Derivative | 1,250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · derivative · entry 8 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 328,992 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionSeries A preferred stock · Derivative | 982,906 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · derivative · entry 7 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 246,272 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionJunior preferred stock · Derivative | 1,483,784 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · derivative · entry 6 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 244,147 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | PurchaseCommon Stock | 428,571 | $14.00 | $5,999,994.00 |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · nonDerivative · entry 5 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,854,006 F1 · shares: Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionCommon Stock | 606,024 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · nonDerivative · entry 4 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,425,435 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionCommon Stock | 328,992 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · nonDerivative · entry 3 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 819,411 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionCommon Stock | 246,272 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · nonDerivative · entry 2 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 490,419 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 21:06 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | ConversionCommon Stock | 244,147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-025508 · doc4.xml · nonDerivative · entry 1 Goyal Vikas · CIK 0001721017 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 244,147 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). The preferred stock had no expiration date. F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.