Statement of Changes in Beneficial Ownership (4)
14 Junho 2023 - 9:31AM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
HAMED KAMAL |
2. Issuer Name and Ticker or Trading Symbol
Spero Therapeutics, Inc.
[
SPRO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Medical Officer |
(Last)
(First)
(Middle)
C/O SPERO THERAPEUTICS, INC., 675 MASSACHUSETTS AVENUE, 14TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/12/2023 |
(Street)
CAMBRIDGE, MA 02139 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 6/12/2023 | | A | | 140000 (1) | A | $0.00 | 615957 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Explanation of Responses: |
(1) | On August 4, 2022, the Reporting Person was granted a target of 140,000 performance-based restricted stock units ("RSUs") under the Issuer's 2019 Inducement Equity Incentive Plan, as amended. Each RSU represents the right, upon achievement of certain pre-established performance criteria, to receive one share of the Issuer's common stock, subject to vesting conditions. On June 12, 2023, the Board of Directors of the Issuer determined that 100% of the performance-based conditions were met resulting in 140,000 RSUs earned by the Reporting Person. The RSUs vest in two equal annual installments on September 12, 2023 and September 12, 2024, subject to the Reporting Person's continued service through the applicable vesting date. |
(2) | Consists of RSUs held by the Reporting Person. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HAMED KAMAL C/O SPERO THERAPEUTICS, INC. 675 MASSACHUSETTS AVENUE, 14TH FLOOR CAMBRIDGE, MA 02139 |
|
| Chief Medical Officer |
|
Signatures
|
/s/ Tamara Joseph. Attorney-in-Fact for Kamal Hamed | | 6/14/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
Spero Therapeutics (NASDAQ:SPRO)
Gráfico Histórico do Ativo
De Mai 2024 até Jun 2024
Spero Therapeutics (NASDAQ:SPRO)
Gráfico Histórico do Ativo
De Jun 2023 até Jun 2024