Initial Statement of Beneficial Ownership (3)
January 28 2021 - 05:04PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Cotreau Violetta |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/26/2021
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3. Issuer Name and Ticker or Trading Symbol
Akebia Therapeutics, Inc. [AKBA]
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(Last)
(First)
(Middle)
C/O AKEBIA THERAPEUTICS, INC., 245 FIRST STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, Chief Accounting Officer / |
(Street)
CAMBRIDGE, MA 02142
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 12900.00 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to buy) | (2) | 12/31/2030 | Common Stock | 42000.00 | $2.80 | D | |
Explanation of Responses: |
(1) | The restricted stock units (each, an "RSU") were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. All of the RSUs will vest on December 31, 2021, subject to the Reporting Person's continued service with the Issuer on such vesting date. |
(2) | The options were granted by the Issuer as an inducement material to the Reporting Person's entering into employment with the Issuer in accordance with Nasdaq Listing Rule 5635(c)(4). The options will vest over four years: 25% of the options will vest on December 31, 2021 with the remaining 75% vesting in equal quarterly installments thereafter, subject to the Reporting Person's continued service with the Issuer on each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cotreau Violetta C/O AKEBIA THERAPEUTICS, INC. 245 FIRST STREET CAMBRIDGE, MA 02142 |
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| SVP, Chief Accounting Officer |
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Signatures
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/s/ Andrea J. Paul, attorney-in-fact for Violetta Cotreau | | 1/28/2021 |
**Signature of Reporting Person | Date |
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