Adjuvant Global Health Technology Fund, L.P.'s Form 4/A amendment
AmendedAN2 Therapeutics, Inc. (ANTX) · filed Jun 24, 2022
- Accession no.
- 0000899243-22-024034
- Filed
- Jun 24, 2022, 4:51 PM ET
- Trade date
- Mar 29, 2022
- Filing delay
- 87 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Mar 31, 2022
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market purchases total $2.50M. It was filed 87 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 |
| Adjuvant Capital Management, LLCCIK 0001935084 | 10% Owner |
| Adjuvant Capital GP, L.P.CIK 0001935100 | 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 | Direct | |
| Mar 29, 2022 | Common Stock | CConversionAcquired | +312,415 | –F1 | – | 312,415 | Indirect | |
| Mar 29, 2022 | Common Stock | CConversionAcquired | +392,433 | –F1 | – | 2,044,069 | Direct | |
| Mar 29, 2022 | Common Stock | CConversionAcquired | +74,230 | –F1 | – | 386,645 | Indirect | |
| Mar 29, 2022 | Common Stock | PPurchaseAcquired | +166,666 | $15.00 | +$2,499,990 | 2,210,735 | Direct | 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 | Direct | |
| Mar 29, 2022 | Common Stock | CConversionDisposed | −312,415 | $0.00 | $0 | 0 | Indirect | |
| Mar 29, 2022 | Common Stock | CConversionDisposed | −392,433 | $0.00 | $0 | 0 | Direct | |
| Mar 29, 2022 | Common Stock | CConversionDisposed | −74,230 | $0.00 | $0 | 0 | Indirect |
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.
- F2
Shares held directly by Adjuvant Global Health Technology Fund, L.P. ("AGHT Fund"). The sole general partner of AGHT Fund is Adjuvant Capital GP, L.P. ("AC GP") and the sole general partner of AC GP is Adjuvant Capital Management, L.L.C. ("AC MGMT"). Kabeer Aziz, a member of the Issuer's board of directors, is Secretary of AC MGMT, and may be deemed to share voting and dispositive power over the securities held by such entities. Each such person and entity disclaims beneficial ownership of the securities, except to the extent of such person's or entity's pecuniary interest in such securities.
- F3
Shares held directly by Adjuvant Global Health Technology Fund DE, L.P. ("AGHT Fund DE"). The sole general partner of AGHT Fund DE is AC GP and the sole general partner of AC GP is AC MGMT. Kabeer Aziz, a member of the Issuer's board of directors, is Secretary of AC MGMT, and may be deemed to share voting and dispositive power over the securities held by such entities. Each such person and entity disclaims beneficial ownership of the securities, except to the extent of such person's or entity's pecuniary interest in such securities.