0000899243-17-027011.txt : 20171120 0000899243-17-027011.hdr.sgml : 20171120 20171120173808 ACCESSION NUMBER: 0000899243-17-027011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171120 FILED AS OF DATE: 20171120 DATE AS OF CHANGE: 20171120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maris William J CENTRAL INDEX KEY: 0001722210 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38295 FILM NUMBER: 171214894 MAIL ADDRESS: STREET 1: 2033 SAN ELIJO AVE., #565 CITY: CARDIFF-BY-THE-SEA STATE: CA ZIP: 92007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Section 32 Fund 1, LP CENTRAL INDEX KEY: 0001691436 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38295 FILM NUMBER: 171214896 BUSINESS ADDRESS: STREET 1: 2033 SAN ELIJO AVE., #565 CITY: CARDIFF-BY-THE-SEA STATE: CA ZIP: 92007 BUSINESS PHONE: 858-633-3232 MAIL ADDRESS: STREET 1: 2033 SAN ELIJO AVE., #565 CITY: CARDIFF-BY-THE-SEA STATE: CA ZIP: 92007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Section 32 GP 1, LLC CENTRAL INDEX KEY: 0001691437 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38295 FILM NUMBER: 171214895 BUSINESS ADDRESS: STREET 1: 2033 SAN ELIJO AVE., #565 CITY: CARDIFF-BY-THE-SEA STATE: CA ZIP: 92007 BUSINESS PHONE: 858-633-3232 MAIL ADDRESS: STREET 1: 2033 SAN ELIJO AVE., #565 CITY: CARDIFF-BY-THE-SEA STATE: CA ZIP: 92007 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Arsanis, Inc. CENTRAL INDEX KEY: 0001501697 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 273181608 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 890 WINTER STREET, SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-819-5704 MAIL ADDRESS: STREET 1: 890 WINTER STREET, SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02451 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-20 1 0001501697 Arsanis, Inc. ASNS 0001691436 Section 32 Fund 1, LP 2071 SAN ELIJO AVENUE CARDIFF-BY-THE-SEA CA 92007 0 0 1 0 0001691437 Section 32 GP 1, LLC 2071 SAN ELIJO AVENUE CARDIFF-BY-THE-SEA CA 92007 0 0 1 0 0001722210 Maris William J 2071 SAN ELIJO AVENUE CARDIFF-BY-THE-SEA CA 92007 0 0 1 0 Common Stock 2017-11-20 4 C 0 451362 A 451362 D Series D Convertible Preferred Stock 2017-11-20 4 C 0 1540500 0.00 D Common Stock 451362 0 D The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. The reported securities are held of record by Section 32 Fund 1, LP ("Fund 1"). Section 32 GP 1, LLC (the "GP"), the general partner of Fund 1, and William J. Maris, the managing member of the GP, may be deemed to share voting and dispositive power over the shares held by Fund 1. Such persons and entities disclaim beneficial ownership of shares held by Fund 1 except to the extent of any pecuniary interest therein. /s/ Mike Gray, attorney-in-fact on behalf of Section 32 Fund 1, LP 2015-11-20 /s/ Mike Gray, attorney-in-fact on behalf of Section 32 GP 1, LLC 2015-11-20 /s/ Mike Gray, attorney-in-fact on behalf of William J. Maris 2015-11-20