0001104659-24-001025.txt : 20240103 0001104659-24-001025.hdr.sgml : 20240103 20240103195455 ACCESSION NUMBER: 0001104659-24-001025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231229 FILED AS OF DATE: 20240103 DATE AS OF CHANGE: 20240103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Romano Sarah CENTRAL INDEX KEY: 0001697536 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37853 FILM NUMBER: 24509286 MAIL ADDRESS: STREET 1: 271 WAVERLY OAKS ROAD CITY: WALTHAM STATE: MA ZIP: 02452 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: First Wave BioPharma, Inc. CENTRAL INDEX KEY: 0001604191 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 464993860 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 777 YAMATO ROAD STREET 2: SUITE 502 CITY: BOCA RATON STATE: FL ZIP: 33431 BUSINESS PHONE: 561-589-7020 MAIL ADDRESS: STREET 1: 777 YAMATO ROAD STREET 2: SUITE 502 CITY: BOCA RATON STATE: FL ZIP: 33431 FORMER COMPANY: FORMER CONFORMED NAME: AzurRx BioPharma, Inc. DATE OF NAME CHANGE: 20141103 FORMER COMPANY: FORMER CONFORMED NAME: BioPharma d'Azur, Inc. DATE OF NAME CHANGE: 20140331 4 1 tm241923-2_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-12-29 0 0001604191 First Wave BioPharma, Inc. FWBI 0001697536 Romano Sarah C/O FIRST WAVE BIOPHARMA, INC 777 YAMATO ROAD, SUITE 502 BOCA RATON FL 33431 0 1 0 0 Chief Financial Officer 0 Common Stock 2023-12-29 4 A 0 12614 0.00 A 13404 D Common Stock 2024-01-02 4 A 0 7000 0.00 A 20404 D On December 29, 2023, the Reporting Person was granted 12,614 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest upon closing of the Issuer's proposed acquisition of ImmunogenX, Inc. On January 2, 2024, the Reporting Person was granted 7,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024. Includes unvested RSUs. /s/ Sarah Romano 2024-01-03