Statement of Changes in Beneficial Ownership (4)
July 02 2020 - 04:23PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * Gould
Terry P |
2. Issuer Name and Ticker or Trading
Symbol Aptinyx Inc. [ APTX ] |
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 APTINYX INC., 909 DAVIS ST, SUITE 600 |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/30/2020
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(Street)
EVANSTON, IL 60201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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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 |
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) |
$4.17 |
6/30/2020 |
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A |
|
3735 (1) |
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(2) |
6/29/2030 |
Common Stock |
3735 |
$2.677 |
3735 (3) |
D |
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Explanation of
Responses: |
(1) |
The option award was issued
to the Reporting Person, who elected to take equity awards in lieu
of cash compensation for services as a director, pursuant to the
Issuer's non-employee director compensation plan. The number of
options granted was determined by dividing the cash compensation
otherwise payable with respect to the quarter by the Black-Scholes
value of a single option calculated as of the date of the
grant. |
(2) |
This option is fully vested
at time of grant. |
(3) |
The Reporting Person, Terry
P. Gould, is a partner of Adams Street Partners, LLC ("Adams
Street"). Adams Street is the direct or indirect general
partner/investment adviser of managed entities that own common
stock of the Issuer. By agreement with certain of such Adams Street
funds, Mr. Gould is deemed to hold the stock options for the
benefit of those funds. Mr. Gould disclaims beneficial ownership of
the stock options except to the extent of his pecuniary interest
therein. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Gould Terry P
C/O APTINYX INC.
909 DAVIS ST, SUITE 600
EVANSTON, IL 60201 |
X |
X |
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Signatures
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/s/ Ashish Khanna,
Attorney-In-Fact |
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7/2/2020 |
**Signature of Reporting
Person |
Date |