Achaogen, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-06-29: Reporting owner Puttagunta Chetan; Form 3; Security Common Stock Warrants (right to buy); Transaction Holding.
- 2018-06-29: Reporting owner Makhzoumi Mohamad; Form 3; Security Common Stock Warrants (right to buy); Transaction Holding.
- 2017-08-23: Reporting owner Wise Blake; Form 4; Security Warrants (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-06-07: Reporting owner Weller Harry R; Form 3; Security Common Stock Warrants (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-06-29 holding as of filing | Puttagunta Chetan 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2018-06-29 | ||
| 2018-06-29 holding as of filing | Makhzoumi Mohamad 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2018-06-29 | ||
| 2017-08-23 | Wise Blake Officer (President & COO) | 4 | Warrants (Right to Buy) Derivative · Indirect · See Footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,363 0 owned after | $0.13 | 2017-08-25 | |
| 2016-06-07 holding as of filing | Weller Harry R 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | Sonsini Peter W. 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | Sakoda Jon 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | MOTT DAVID M 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | MAKOWER JOSHUA 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | Florence Anthony A. Jr. 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | BASKETT FOREST 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | BARRIS PETER J 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Note 1 | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-07 holding as of filing | Growth Equity Opportunities IV, LLC | New Enterprise Associates 15, L.P. | NEA Partners 15, L.P. | NEA 15 GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $3.66 exercise price | 2016-06-07 | ||
| 2016-06-03 | Wise Blake Officer (Chief Operating Officer) | 4 | Warrants (Right to Buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,363 35,363 owned after | $0.13 | 2016-06-03 |