UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series C-1 Preferred Stock | Â (1) | Â (1) | Common Stock | 336,541 | $ (1) | I | See Footnote (4) |
Series D Warrants | Â (2) | 12/31/2026 | Common Stock | 20,493 | $ 0.01 | I | See Footnote (4) |
Series D Preferred Stock | Â (3) | Â (3) | Common Stock | 118,570 | $ (3) | I | See Footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLAXOSMITHKLINE PLC 980 GREAT WEST ROAD BRENTFORD MIDDLESEX, X0 TW8 9GS |
 |  X |  |  |
/s/ Victoria Whyte | 07/25/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Series C-1 Preferred Stock is convertible into Common Stock on an approximately 0.0706-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date |
(2) | Following the automatic conversion of the Series D Preferred Stock, the Series D Warrants will be currently exercisable for the number of shares of Common Stock shown in Column 3, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The warrant is currently exercisable for 20,493 shares of Series D Preferred Stock. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. |
(3) | The Series D Preferred Stock is convertible into Common Stock on an approximately 0.0594 -for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. |
(4) | The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). |