Statement of Changes in Beneficial Ownership (4)
December 01 2021 - 6:32PM
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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OMB APPROVAL
OMB Number:
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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ROOT JONATHAN D |
2. Issuer Name and Ticker or Trading Symbol
eFFECTOR Therapeutics, Inc.
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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)
1460 EL CAMINO REAL, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/29/2021 |
(Street)
MENLO PARK, CA 94025
(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
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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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Common Stock | 11/29/2021 | | S | | 24965 | D | $6.695 (1) | 4437369 | I | Directly owned by USVP X (2) |
Common Stock | 11/29/2021 | | S | | 799 | D | $6.695 (1) | 141960 | I | Directly owned by AFF X (2) |
Common Stock | 11/30/2021 | | S | | 26559 | D | $6.532 (1) | 4410810 | I | Directly owned by USVP X (2) |
Common Stock | 11/30/2021 | | S | | 850 | D | $6.533 (1) | 141110 | I | Directly owned by AFF X (2) |
Common Stock | 12/1/2021 | | S | | 18648 | D | $6.437 (1) | 4392162 | I | Directly owned by USVP X (2) |
Common Stock | 12/1/2021 | | S | | 597 | D | $6.437 (1) | 140513 | I | Directly owned by AFF X (2) |
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 |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.65 to $6.83; inclusive for sales on 11/29/21; prices ranging from $6.13 to $6.90, inclusive for sales on 11/30/21; and prices ranging from $6.04 to $6.83, inclusive for sales on 12/1/21. The reporting persons undertake to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4 |
(2) | Presidio Management Group X, L.L.C. ("PMG X"), the general partner of each of U.S. Venture Partners X, L.P. ("USVP X") and USVP X Affiliates L.P. ("AFF X") (together, the "USVP X Funds"), has sole voting and dispositive power with respect to the shares held by the USVP X Funds. The Reporting Person is a managing member of PMG X with additional rights with respect to the Issuer securities, and may be deemed to have sole voting and dispositive power with respect to the shares. The Reporting Person disclaims beneficial ownership of shares held by the USVP X Funds, except to the extent of any proportionate pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ROOT JONATHAN D 1460 EL CAMINO REAL SUITE 100 MENLO PARK, CA 94025 | X | X |
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Signatures
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Dale Holladay, Attorney in Fact for the Reporting Person | | 12/1/2021 |
**Signature of Reporting Person | Date |
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