0000899243-17-025130.txt : 20171101 0000899243-17-025130.hdr.sgml : 20171101 20171101192153 ACCESSION NUMBER: 0000899243-17-025130 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171101 FILED AS OF DATE: 20171101 DATE AS OF CHANGE: 20171101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goyal Vikas CENTRAL INDEX KEY: 0001721017 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38266 FILM NUMBER: 171170305 MAIL ADDRESS: STREET 1: C/O SR ONE, LTD., 161 WASHINGTON ST. STREET 2: SUITE 500, EIGHT TOWER BRIDGE CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Spero Therapeutics, Inc. CENTRAL INDEX KEY: 0001701108 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 675 MASSACHUSETTS AVENUE STREET 2: 14TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 857-242-1600 MAIL ADDRESS: STREET 1: 675 MASSACHUSETTS AVENUE STREET 2: 14TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 FORMER COMPANY: FORMER CONFORMED NAME: Spero Therapeutics, LLC DATE OF NAME CHANGE: 20170316 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2017-11-01 0 0001701108 Spero Therapeutics, Inc. SPRO 0001721017 Goyal Vikas C/O S.R. ONE, LIMITED 161 WASHINGTON STREET, SUITE 500 CONSHOHOCKEN PA 19428 1 0 0 0 Junior preferred stock Common Stock 244147 I See Footnote Series A preferred stock Common Stock 246272 I See Footnote Series B preferred stock Common Stock 328992 I See Footnote Series C preferred stock Common Stock 606024 I See Footnote The Junior preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. The Series A preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. The Series B preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. The Series C preferred stock is convertible into the respective number of shares of common stock shown in column 3 in each case calculated using the conversion ratio set forth in the Issuer's Amended and Restated Certificate of Incorporation, as amended, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. Share numbers give effect to the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017. S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Vikas Goyal is a Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Goyal disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Exhibit List Exhibit 24.1 - Power of Attorney /s/ Matthew Tikonoff, Attorney-in-Fact for Vikas Goyal 2017-11-01 EX-24.1 2 attachment1.htm EX-24.1 DOCUMENT

                                  POWER OF ATTORNEY

     Know all by these present, that the undersigned hereby constitutes and
appoints each of Ankit Mahadevia, M.D., Chief Executive Officer and President
of Spero Therapeutics, Inc.(the "Company"), Joel Sendek, Chief Financial Officer
and Treasurer of the Company, Stephen Garbacz, Vice President of Finance and
Operations and Secretary of the Company, and Matthew J. Gardella, Matthew
W. Tikonoff, Leah J. Pollema, Brain J. Shea, Anne T. Leland, Brenda L. Meyette
and Jacquelyn Cannata of Mintz, Levin, Chon, Ferris, Glovsky and Popeo, P.C.,
singing singly, with full power of substitution, the undersigned's true and
lawful attorney-in-fact to:

     (1)    execute for and on behalf of the undersigned, forms and
            authentication documents for EDGAR Filing Access;

     (2)    do and perform any and all acts for and on behalf of the undersigned
            which may be necessary or desirable to complete and execute any such
            forms and authentication documents;

     (3)    execute for and on behalf of the undersigned, in the undersigned's
            capacity as an officer, director and/or 10% shareholder of the
            Company, Forms 3, 4 and 5 in accordance with Section 16(a) of the
            Securities Exchange Act of 1934 and the rules thereunder;

     (4)    do and perform any and all acts for and on behalf of the undersigned
            which may be necessary or desirable to complete and execute any such
            Form 3, 4 or 5 and timely file such form with the United States
            Securities and Exchange Commission and any stock exchange or similar
            authority; and

     (5)    take any other action of any type whatsoever in connection with the
            foregoing which, in the opinion of such attorney-in-fact, may be of
            benefit to, in the best interests of, or legally required by the
            undersigned, it being understood that the documents executed by such
            attorney-in-fact on behalf of the undersigned pursuant to this Power
            of Attorney shall be in such form and shall contain such terms and
            conditions as such attorney-in-fact may approve in such attorney-
            in-fact's discretion.

     The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934, as amended.

     This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.

     IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed this 25th day of October, 2017

                                                   /s/ Vikas Goyal
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                                                       Signature

                                                      Vikas Goyal
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                                                      Print Name