0001209191-18-034404.txt : 20180531 0001209191-18-034404.hdr.sgml : 20180531 20180531165417 ACCESSION NUMBER: 0001209191-18-034404 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180530 FILED AS OF DATE: 20180531 DATE AS OF CHANGE: 20180531 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ratcliffe Liam CENTRAL INDEX KEY: 0001547100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38503 FILM NUMBER: 18872315 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE - SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lathi Vijay K CENTRAL INDEX KEY: 0001340806 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38503 FILM NUMBER: 18872316 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 2500 SAND HILL ROAD, SUITE 203 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Iterum Therapeutics plc CENTRAL INDEX KEY: 0001659323 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: L2 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: BLOCK 2 FLOOR 3, HARCOURT CENTRE STREET 2: HARCOURT STREET CITY: DUBLIN STATE: L2 ZIP: 2 BUSINESS PHONE: (872) 225-6077 MAIL ADDRESS: STREET 1: BLOCK 2 FLOOR 3, HARCOURT CENTRE STREET 2: HARCOURT STREET CITY: DUBLIN STATE: L2 ZIP: 2 FORMER COMPANY: FORMER CONFORMED NAME: Iterum Therapeutics Ltd DATE OF NAME CHANGE: 20151124 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-05-30 0 0001659323 Iterum Therapeutics plc ITRM 0001340806 Lathi Vijay K C/O NEW LEAF VENTURES 7 TIMES SQUARE, SUITE 3502 NEW YORK NY 10036 0 0 1 0 0001547100 Ratcliffe Liam C/O NEW LEAF VENTURES 7 TIMES SQUARE, SUITE 3502 NEW YORK NY 10036 0 0 1 0 Ordinary Shares 2018-05-30 4 C 0 466793 A 466793 I By New Leaf Ventures III, L.P. Ordinary Shares 2018-05-30 4 C 0 178230 A 645023 I By New Leaf Ventures III, L.P. Ordinary Shares 2018-05-30 4 C 0 148603 A 793626 I By New Leaf Ventures III, L.P. Ordinary Shares 2018-05-30 4 P 0 278062 13.00 A 1071688 I By New Leaf Ventures III, L.P. Ordinary Shares 2018-05-30 4 P 0 384615 13.00 A 384615 I By New Leaf Biopharma Opportunities II, L.P. Series A Preferred Shares 2018-05-30 4 C 0 466793 0.00 D Ordinary Shares 466793 0 I By New Leaf Ventures III, L.P. Series B-1 Preferred Shares 2018-05-30 4 C 0 178230 0.00 D Ordinary Shares 178230 0 I By New Leaf Ventures III, L.P. Series B-2 Preferred Shares 2018-05-30 4 C 0 148603 0.00 D Ordinary Shares 148603 0 I By New Leaf Ventures III, L.P. The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any. The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors are the managing directors of NBPO-IIM and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors, NBPO-IIA and NBPO-IIM each disclaim Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of their respective pecuniary interest therein, if any. Not applicable. /s/ Craig L. Slutzkin, attorney-in-fact for Vijay Lathi 2018-05-31 /s/ Craig L. Slutzkin, attorney-in-fact for Liam Ratcliffe 2018-05-31