George Simeon's Form 4 filing
Avalyn Pharma Inc. (AVLN) · filed May 1, 2026
- Accession no.
- 0001193125-26-201887
- Filed
- May 1, 2026, 6:46 PM ET
- Trade date
- May 1, 2026
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 4 derivative transactions. Open-market purchases total $10.0M. It was filed on the trade date.
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 |
|---|---|
| George SimeonCIK 0001595117 | 10% Owner |
| Sr One Capital Management, LLCCIK 0001853723 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 1, 2026 | Common Stock | CConversionAcquired | +1,419,298 | –F1 | – | 1,419,298 | Indirect | |
| May 1, 2026 | Common Stock | CConversionAcquired | +489,486 | –F3 | – | 1,908,784 | Indirect | |
| May 1, 2026 | Common Stock | PPurchaseAcquired | +277,778 | $18.00 | +$5,000,004 | 2,186,562 | Indirect | |
| May 1, 2026 | Common Stock | CConversionAcquired | +354,824 | –F1 | – | 354,824 | Indirect | |
| May 1, 2026 | Common Stock | CConversionAcquired | +489,486 | –F3 | – | 844,310 | Indirect | |
| May 1, 2026 | Common Stock | PPurchaseAcquired | +277,777 | $18.00 | +$4,999,986 | 1,122,087 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 1, 2026 | Common Stock | CConversionDisposed | −1,419,298 | –F1 | – | 0 | Indirect | |
| May 1, 2026 | Common Stock | CConversionDisposed | −489,486 | –F3 | – | 0 | Indirect | |
| May 1, 2026 | Common Stock | CConversionDisposed | −354,824 | –F1 | – | 0 | Indirect | |
| May 1, 2026 | Common Stock | CConversionDisposed | −489,486 | –F3 | – | 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 May 1, 2026, each share of Series C-1 Convertible Preferred Stock (the "Series C-1 Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had no expiration date.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
- F3
On May 1, 2026, each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series D Preferred Stock had no expiration date.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.