Adjuvant Global Health Technology Fund, L.P. - Mar 24, 2022 Form 3/A - Amendment Insider Report for AN2 Therapeutics, Inc. (ANTX)

Role
10%+ Owner
Signature
Adjuvant Global Health Technology Fund, L.P.,By: Adjuvant Capital GP, L.P., its sole general partner, By: Adjuvant Capital Management, L.L.C., its sole general partner By: Kabeer Aziz, Secretary /s/ Kabeer Aziz
Stock symbol
ANTX
Transactions as of
Mar 24, 2022
Transactions value $
$0
Form type
3/A - Amendment
Date filed
6/24/2022, 04:48 PM
Date Of Original Report
Mar 24, 2022
Next filing
Jun 24, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ANTX Series A Convertible Preferred Stock Mar 24, 2022 Common Stock 1.65M Direct F1, F2
holding ANTX Series A Convertible Preferred Stock Mar 24, 2022 Common Stock 312K By Adjuvant Global Health Technology Fund DE, L.P. F1, F3
holding ANTX Series B Convertible Preferred Stock Mar 24, 2022 Common Stock 392K Direct F1, F2
holding ANTX Series B Convertible Preferred Stock Mar 24, 2022 Common Stock 74.2K By Adjuvant Global Health Technology Fund DE, L.P. F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Preferred Stock automatically converts on a one-for-one basis into Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The shares of Preferred Stock have no expiration date.
F2 Shares held directly by Adjuvant Global Health Technology Fund, L.P. ("AGHT Fund"). The sole general partner of AGHT Fund is Adjuvant Capital GP, L.P. ("AC GP") and the sole general partner of AC GP is Adjuvant Capital Management, L.L.C. ("AC MGMT"). Kabeer Aziz, a member of the Issuer's board of directors, is a Secretary of AC MGMT, and may be deemed to share voting and dispositive power over the securities held by such entities. Each such person and entity disclaims beneficial ownership of the securities, except to the extent of such person's or entity's pecuniary interest in such securities.
F3 Shares held directly by Adjuvant Global Health Technology Fund DE, L.P. ("AGHT Fund DE") . The sole general partner of AGHT Fund DE is AC GP and the sole general partner of AC GP is the AC MGMT. Kabeer Aziz, a member of the Issuer's board of directors, is a Secretary of AC MGMT, and may be deemed to share voting and dispositive power over the securities held by such entities. Each such person and entity disclaims beneficial ownership of the securities, except to the extent of such person's or entity's pecuniary interest in such securities.

Remarks:

This Form 3 amendment is being filed to add AGHT Fund and AC MGMT as reporting persons, each of which was inadvertently omitted from the initial Form 3, and to clarify that AGHT Funds holds securities of the Issuer directly.