RA Capital Healthcare Fund LP's Form 4 filing
AN2 Therapeutics, Inc. (ANTX) · filed Mar 31, 2022
- Accession no.
- 0001104659-22-041080
- Filed
- Mar 31, 2022, 4:31 PM ET
- Trade date
- Mar 29, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market purchases total $25.0M. 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 |
|---|---|
| RA Capital Healthcare Fund LPCIK 0001315082 | 10% Owner |
| Ra Capital Management, L.P.CIK 0001346824 | 10% Owner |
| Kolchinsky PeterCIK 0001384859 | 10% Owner |
| Shah Rajeev M.CIK 0001619841 | 10% Owner |
| RA Capital Nexus Fund II, L.P.CIK 0001825376 | 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 | +1,699,998 | –F1 | – | 1,699,998 | Indirect | |
| Mar 29, 2022 | Common Stock | PPurchaseAcquired | +1,551,053 | $15.00 | +$23,265,795 | 3,251,051 | Indirect | |
| Mar 29, 2022 | Common Stock | CConversionAcquired | +299,999 | –F1 | – | 299,999 | Indirect | |
| Mar 29, 2022 | Common Stock | PPurchaseAcquired | +115,613 | $15.00 | +$1,734,195 | 415,612 | Indirect |
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 | −1,699,998 | $0.00 | $0 | 0 | Indirect | |
| Mar 29, 2022 | Common Stock | CConversionDisposed | −299,999 | $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
On March 29, 2022, each share of Series B Preferred Stock (the "Preferred Stock") converted into Common Stock of the Issuer at a ratio of 1-for-1 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.
Referenced by the price of 2 transactions in Table I.