XERIS PHARMACEUTICALS INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows, 30 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-06-28: Reporting owner Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd.; Form 3/A; Security Series B Preferred Stock; Transaction Holding.
- 2018-06-28: Reporting owner Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd.; Form 3/A; Security Series C Preferred Stock; Transaction Holding.
- 2018-06-28: Reporting owner Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd.; Form 3/A; Security Series C Preferred Stock; Transaction Holding.
- 2018-06-25: Reporting owner Palmetto Partners 2014, LP | Palmetto Partners 2015, LP | Palmetto Partners, Ltd.; Form 4/A; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-06-28 holding as of filing | Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-28 | ||
| 2018-06-28 holding as of filing | Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 3/A | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-28 | ||
| 2018-06-28 holding as of filing | Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 3/A | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-28 | ||
| 2018-06-25 | Palmetto Partners 2014, LP | Palmetto Partners 2015, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 4/A | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,657,125 0 owned after | no price filed | 2018-06-28 | |
| 2018-06-25 | Palmetto Partners 2014, LP | Palmetto Partners 2015, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,036,599 0 owned after | no price filed | 2018-06-28 | |
| 2018-06-25 | Palmetto Partners 2014, LP | Palmetto Partners 2015, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −797,384 0 owned after | no price filed | 2018-06-28 | |
| 2018-06-25 | Edick Paul R Director, Officer (See Remarks) | 4 | Series C Preferred Stock Derivative · Indirect · By Paul R. Edick 2008 Revocable Trust | C Conversion of derivative security | −23,922 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | Deutsch Barry M. Officer (Chief Financial Officer) | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,987 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | Shannon John Patrick Jr Officer (See Remarks) | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −16,000 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | PRESTRELSKI STEVEN Officer (Chief Scientific Officer) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −53,849 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | PRESTRELSKI STEVEN Officer (Chief Scientific Officer) | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −12,701 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | JOHNSON KENNETH ERLAND Officer (See Remarks) | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,000 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) | Deerfield Special Situations Fund, L.P. | Flynn James E | Deerfield Mgmt L.P. | Deerfield Private Design Fund III, L.P. | | | | | | 4 | Series C Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | C Conversion of derivative security | −1,557,292 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) | Deerfield Special Situations Fund, L.P. | Flynn James E | Deerfield Mgmt L.P. | Deerfield Private Design Fund III, L.P. | | | | | | 4 | Series C Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | C Conversion of derivative security | −1,557,292 0 owned after | no price filed | 2018-06-27 | |
| 2018-06-25 | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,109,796 0 owned after | $0.00 | 2018-06-27 | |
| 2018-06-25 | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. | Palmetto Partners 2015, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,657,125 0 owned after | no price filed | 2018-06-25 | |
| 2018-06-25 | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. | Palmetto Partners 2015, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,036,599 0 owned after | no price filed | 2018-06-25 | |
| 2018-06-25 | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. | Palmetto Partners 2015, LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −797,384 0 owned after | no price filed | 2018-06-25 | |
| 2018-06-20 holding as of filing | Edick Paul R Director, Officer (See Remarks) | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | JOHNSON KENNETH ERLAND Officer (See Remarks) | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Shannon John Patrick Jr Officer (See Remarks) | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | PRESTRELSKI STEVEN Officer (Chief Scientific Officer) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | PRESTRELSKI STEVEN Officer (Chief Scientific Officer) | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Deutsch Barry M. Officer (Chief Financial Officer) | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Flynn James E | Deerfield Private Design Fund III, L.P. | DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) | Deerfield Mgmt III, L.P. | | | | | | 3 | Series C Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Flynn James E | Deerfield Private Design Fund III, L.P. | DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) | Deerfield Mgmt III, L.P. | | | | | | 3 | Series C Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 | ||
| 2018-06-20 holding as of filing | Palmetto Partners 2015, LP | Palmetto Partners 2014, LP | Palmetto Partners, Ltd. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-20 |