Amended Statement of Changes in Beneficial Ownership (4/a)
17 Dicembre 2021 - 10:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Gallagher Brian M. Jr. |
2. Issuer Name and Ticker or Trading Symbol
eFFECTOR Therapeutics, Inc.
[
EFTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O EFFECTOR THERAPEUTICS, INC., 11120 ROSELLE ST SUITE A |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/6/2021 |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
10/8/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $11.36 | 10/6/2021 | | A | | 40000 | | (1) | 10/5/2031 | Common Stock | 40000 | $0 | 40000 | D (2)(3) | |
Explanation of Responses: |
(1) | The shares subject to the option (the "Option") will vest in substantially equal monthly installments over three years, commencing on August 25, 2021, subject to the Reporting Person's continued service with the Issuer through each vesting date. |
(2) | The Reporting Person is a member of the investment committee of Abingworth Bioventures VI, LP ("ABV VI") which approves investment and voting decisions by majority vote. Abingworth LLP provides advisory services to ABV VI and exercises investment and dispositive power over the securities held by ABV VI. Under an agreement between the Reporting Person and Abingworth LLP, the Reporting Person is deemed to hold the Option and any shares of common stock issuable upon exercise of the Option, for the benefit of ABV VI, and must exercise the Option solely upon the direction of Abingworth LLP. |
(3) | ABV VI may be deemed the indirect beneficial owner of the Option, and the Reporting Person may be deemed the indirect beneficial owner of the Option through his indirect interest in ABV VI. The Reporting Person disclaims beneficial ownership of the Option except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person, Abingworth LLP, ABV VI or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Remarks: This Form 4 is being filed to describe the nature of the Reporting Person's form of ownership as reported in the Form 4 filed on October 8, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gallagher Brian M. Jr. C/O EFFECTOR THERAPEUTICS, INC. 11120 ROSELLE ST SUITE A SAN DIEGO, CA 92121 | X | X |
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Signatures
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/s/ John Heard | | 12/17/2021 |
**Signature of Reporting Person | Date |
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