0000905718-21-001618.txt : 20211217 0000905718-21-001618.hdr.sgml : 20211217 20211217163028 ACCESSION NUMBER: 0000905718-21-001618 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211006 FILED AS OF DATE: 20211217 DATE AS OF CHANGE: 20211217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Abingworth LLP CENTRAL INDEX KEY: 0001397144 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39866 FILM NUMBER: 211501963 BUSINESS ADDRESS: STREET 1: 38 JERMYN STREET CITY: LONDON STATE: X0 ZIP: SW1Y 6DN BUSINESS PHONE: 44 (0)20 7534 1500 MAIL ADDRESS: STREET 1: 38 JERMYN STREET CITY: LONDON STATE: X0 ZIP: SW1Y 6DN ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: eFFECTOR Therapeutics, Inc. CENTRAL INDEX KEY: 0001828522 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 853306396 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 CLARENDON STREET, 51ST FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 2157319450 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET, 51ST FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: Locust Walk Acquisition Corp. DATE OF NAME CHANGE: 20201015 4 1 effector_fm4oct62021.xml X0306 4 2021-10-06 0 0001828522 eFFECTOR Therapeutics, Inc. EFTR 0001397144 Abingworth LLP 38 JERMYN STREET LONDON X0 SW1Y 6DN UNITED KINGDOM 0 0 1 0 Stock Option (right to buy) 11.36 2021-10-06 4 A 0 40000 0 A 2031-10-05 Common Stock 40000 40000 I See Footnotes Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth Bioventures VI, LP ("ABV VI"). Abingworth General Partner VI LLP serves as the general partner of Abingworth GP. ABV VI (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to the Reporting Person all investment and dispositive power over the securities held by ABV VI. The option (the "Option") was granted to Brian Gallagher ("Gallagher"), a director of the Issuer and a member of the investment committee of ABV VI (the "Investment Committee") which approves investment and voting decisions by majority vote. No individual member of the Investment Committee has the sole control or voting power over the securities held by ABV VI. The Option will vest in substantially equal monthly installments over three years, commencing on August 25, 2021, subject to the Gallagher's continued service with the Issuer through each vesting date. Under an agreement between Gallagher and the Reporting Person, Gallagher is deemed to hold the Option and any shares of common stock issuable upon exercise of the Option, for the benefit of ABV VI, and must exercise the Option solely upon the direction of the Reporting Person. ABV VI may be deemed the indirect beneficial owner of the Option, and Gallagher may be deemed the indirect beneficial owner of the Option through his indirect interest in ABV VI. Each of ABV VI, Abingworth GP, Abingworth General Partner VI LLP, Gallagher, the Reporting Person and each member of the Investment Committee disclaims beneficial ownership of the Option except to the extent, if any, of its pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. /s/ John Heard 2021-12-17