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