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