Adjuvant Global Health Technology Fund, L.P.'s Form 4 filing
AN2 Therapeutics, Inc. (ANTX) · filed Mar 31, 2022
- Accession no.
- 0000899243-22-012990
- Filed
- Mar 31, 2022, 8:15 PM ET
- Trade date
- Mar 29, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market purchases total $2.50M. 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 |
|---|---|
| Adjuvant Global Health Technology Fund, L.P.CIK 0001783165 | 10% Owner |
| Adjuvant Global Health Technology Fund DE, L.P.CIK 0001799812 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 29, 2022 | Common Stock | CConversionAcquired | +1,651,636 | –F1 | – | 1,651,636 | Indirect | Duplicate filing |
| Mar 29, 2022 | Common Stock | CConversionAcquired | +312,415 | –F1 | – | 312,415 | Indirect | Duplicate filing |
| Mar 29, 2022 | Common Stock | CConversionAcquired | +392,433 | –F1 | – | 2,044,069 | Indirect | Duplicate filing |
| Mar 29, 2022 | Common Stock | CConversionAcquired | +74,230 | –F1 | – | 386,645 | Indirect | Duplicate filing |
| Mar 29, 2022 | Common Stock | PPurchaseAcquired | +166,666 | $15.00 | +$2,499,990 | 2,210,735 | Indirect | Duplicate filing |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 29, 2022 | Common Stock | CConversionDisposed | −1,651,636 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Mar 29, 2022 | Common Stock | CConversionDisposed | −312,415 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Mar 29, 2022 | Common Stock | CConversionDisposed | −392,433 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Mar 29, 2022 | Common Stock | CConversionDisposed | −74,230 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
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
Each share of Preferred Stock automatically converts on a one-for-one basis into Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The shares of Preferred Stock have no expiration date.
Referenced by the price of 4 transactions in Table I.