0000899243-22-036998.txt : 20221125 0000899243-22-036998.hdr.sgml : 20221125 20221125130513 ACCESSION NUMBER: 0000899243-22-036998 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221122 FILED AS OF DATE: 20221125 DATE AS OF CHANGE: 20221125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wu David James CENTRAL INDEX KEY: 0001827421 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39616 FILM NUMBER: 221419412 MAIL ADDRESS: STREET 1: 411 FIRST AVENUE SOUTH, SUITE 600 CITY: SEATTLE STATE: WA ZIP: 98104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Eargo, Inc. CENTRAL INDEX KEY: 0001719395 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 273879804 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2665 NORTH FIRST STREET STREET 2: SUITE 300 CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 650-351-7700 MAIL ADDRESS: STREET 1: 2665 NORTH FIRST STREET STREET 2: SUITE 300 CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-11-22 0 0001719395 Eargo, Inc. EAR 0001827421 Wu David James C/O MAVERON LLC 411 1ST AVENUE SOUTH, SUITE 600 SEATTLE WA 98104 1 0 0 0 Common Stock 2022-11-22 4 X 0 173812 0.50 A 192079 D Common Stock 2022-11-22 4 X 0 307921 0.50 A 500000 D Common Stock 2022-11-22 4 X 0 8382 0.50 A 9263 I See Footnote Subscription Rights (right to buy) 0.50 2022-11-22 4 X 0 18267 0.00 D 2022-10-31 Common Stock 173812 0 D Subscription Rights (right to buy) 0.50 2022-11-22 4 X 0 881 0.00 D 2022-10-31 Common Stock 8382 0 I See Footnote Represents shares of the Issuer's Common Stock acquired by the Reporting Person following the exercise of his basic subscription rights in connection with the Issuer's rights offering to holders of Common Stock, as described in the issuer's prospectus dated October 27, 2022 (the "Rights Offering"). Each holder of Common Stock of record as of October 24, 2022 received one right for each share of Common Stock, and each right entitled the holder of Common Stock to purchase 9.5151 shares of Common Stock at the subscription price of $0.50 per whole share. Shares acquired by the Reporting Person following the exercise of his over-subscription privilege in connection with the Rights Offering described in footnote 1. Shares held indirectly by the Reporting Person through the Wu 2015 Irrevocable Trust, of which the Reporting Person's wife is a trustee. Amount includes 881 shares, which were previously shown as directly held in the Reporting Person's Form 4 filing on August 15, 2022. Represents exercise price per whole share of Common Stock. The Rights Offering expired on November 17, 2022, and final determination of the pro rata allocation for each exercising holder was determined on November 22, 2022. Subscription Rights held indirectly by the Reporting Person through the Wu 2015 Irrevocable Trust, of which the Reporting Person's wife is a trustee. /s/ Christy La Pierre, Attorney-in-Fact for David James Wu 2022-11-25