RTW INVESTMENTS, LP - 22 Mar 2023 Form 4 Insider Report for Milestone Pharmaceuticals Inc. (MIST)

Role
10%+ Owner
Signature
RTW Investments, LP, By: /s/ Roderick Wong, Managing Partner
Issuer symbol
MIST
Transactions as of
22 Mar 2023
Net transactions value
$0
Form type
4
Filing time
24 Mar 2023, 16:30:34 UTC
Previous filing
30 Jan 2023
Next filing
05 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MIST Common Shares, no par value ("Common Shares") Other -1,059,000 -25% 3,256,102 22 Mar 2023 See footnote F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

RTW INVESTMENTS, LP is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 The RTW Funds (as defined below) exchanged 1,059,000 Common Shares for 1,059,000 pre-funded warrants pursuant to an Exchange Agreement, dated as of March 22, 2023, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one Common Share for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date.
F2 This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser.