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Sec Form 4 Filing - Pauls Matthew @ Savara Inc - 2017-04-27

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

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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
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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1. Name and Address of Reporting Person *
Pauls Matthew
2. Issuer Name and Ticker or Trading Symbol
Savara Inc [ SVRA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
See Remarks
(Last)
(First)
(Middle)
6836 BEE CAVE ROAD, BUILDING III,, SUITE 200
3. Date of Earliest Transaction (MM/DD/YY)
04/27/2017
(Street)
AUSTIN, TX78746
4. If Amendment, Date Original Filed (MM/DD/YY)
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)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 04/27/2017( 1 ) M 650 A $ 0 650 D
Common Stock 09/15/2020 A 227,272 ( 2 ) A $ 0 227,922 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Restricted Stock Units $ 0 04/27/2017( 1 ) M 650 ( 3 ) ( 4 ) ( 4 ) Common Stock 650 $ 0 0 D
Stock Option (Right to Buy) $ 1.32 09/15/2020 A 898,639 ( 5 ) 09/15/2030 Common Stock 898,639 $ 0 898,639 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Pauls Matthew
6836 BEE CAVE ROAD, BUILDING III,
SUITE 200
AUSTIN, TX78746
X See Remarks
Signatures
/s/ Kathleen R. McCabe as attorney-in-fact for Matthew Pauls 09/15/2020
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )The vesting of the restricted stock units ("RSUs") occurred upon April 27, 2017 upon the consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among Mast Therapeutics, Inc., Savara Inc., and Victoria Merger Corp. (the "Merger Agreement") but due to an administrative error was not reported at that time, and the shares were omitted from subsequent Form 4 filings.
( 2 )Represents RSUs that vest in full on the earlier to occur of (i) December 31, 2021 or (ii) the hiring of a permanent Chief Executive Officer of the Issuer, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.
( 3 )Each RSU represents a contingent right to receive one share of the issuer's common stock. The amount reported reflects the 70-for-one reverse stock split implemented by the issuer on April 27, 2017.
( 4 )The restricted stock units vested in full on April 27, 2017, upon consummation of the merger transaction contemplated by the Merger Agreement.
( 5 )The shares subject to the option vest and become exercisable in thirty-six equal installments on each monthly anniversary of September 11, 2020, subject to the reporting person's continued service with the Issuer.

Remarks:
Interim Chief Executive Officer

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.
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