Stampacchia Otello's Form 4 filing
Theseus Pharmaceuticals, Inc. (THRX) · filed Oct 14, 2021
- Accession no.
- 0000899243-21-040245
- Filed
- Oct 14, 2021, 4:40 PM ET
- Trade date
- Oct 12, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $3.00M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Stampacchia OtelloCIK 0001361712 | Other: Former 10% owner |
| Paster Anne-MariCIK 0001652863 | Other: Former 10% owner |
| Nessi ClaudioCIK 0001722050 | Other: Former 10% owner |
| Omega Fund VI, L.P.CIK 0001757917 | Other: Former 10% owner |
| Omega Fund VI GP Manager, Ltd.CIK 0001826584 | Other: Former 10% owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 12, 2021 | Common Stock | CConversionAcquired | +523,979 | –F1 | – | 523,979 | Direct | |
| Oct 12, 2021 | Common Stock | PPurchaseAcquired | +187,500 | $16.00 | +$3,000,000 | 711,479 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 12, 2021 | Common Stock | CConversionDisposed | −523,979 | –F1 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Omega Fund VI, L.P. ("Omega VI") held 693,152 shares of the Issuer's Series B Preferred Stock. On October 12, 2021, the Series B Preferred Stock automatically converted into 523,979 shares of the Issuer's Common Stock on a 1-for-1.32286 reverse split basis, immediately prior to and in connection with the closing of a public offering of the Issuer's securities pursuant to an effective registration statement under the Securities Act of 1933, as amended (the "Securities Act") and without payment of further consideration.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.