Key facts
- This page summarizes Ronald J. Wooten's Form 4 filing for Aceragen, Inc..
- 2 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 19 Jan 2023, 20:47.
Ronald J. Wooten - 17 Jan 2023 Form 4 Insider Report for Aceragen, Inc.
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 17 Jan 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 19 Jan 2023, 20:47:11 UTC
- Prior SEC filing
- 30 Sep 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Ronald J. Wooten
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Ronald J. Wooten filed Form 4 for Aceragen, Inc. on 19 Jan 2023.
Change
- Previous filing in this sequence was filed on 30 Sep 2022.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ACGN
transaction
Derivative
Warrants
Conversion of derivative security
- Transaction value
- Shares
- -14,115
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 17 Jan 2023
- Ownership
- NovaQuest Co-Investment Fund XV, L.P.
- Underlying class
- Series Z Preferred Stock
- Underlying amount
- 14,115
- Exercise price
- $460.00
- Footnotes
- F1, F2, F3
ACGN
transaction
Derivative
Warrants
Conversion of derivative security
- Transaction value
- Shares
- +830,294
- Change %
- Price
- Shares after
- 830,294
- Date
- 17 Jan 2023
- Ownership
- NovaQuest Co-Investment Fund XV, L.P.
- Underlying class
- Common Stock
- Underlying amount
- 830,294
- Exercise price
- $7.82
- Footnotes
- F1, F2, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
On September 28, 2022, Issuer completed its merger ("Merger") with Aceragen, Inc. ("Aceragen"), in accordance with the terms of that certain Agreement and Plan of Merger, dated September 28, 2022 (the "Merger Agreement"). Pursuant to the Merger Agreement, NovaQuest Co-Investment Fund XV, L.P. ("NovaQuest") received warrants to purchase (i) 1,343,547 shares of Issuer Common Stock and (ii) 14,115 shares of Issuer non-voting, convertible Series Z Preferred Stock ("Series Z Preferred Stock").
Footnote F2
On January 12, 2023, Issuer's stockholders approved the conversion of Issuer Series Z Preferred Stock into shares of Issuer Common Stock. Each share of Issuer Series Z Preferred Stock was to be converted into 1,000 shares of Issuer Common Stock, subject to certain limitations, on January 17, 2023. The shares reported on this Form 4 have been adjusted to reflect the Issuer's 1-for-17 reverse stock split of its common stock, effective January 17, 2023.
Footnote F3
The Reporting Person is a member of the investment committee of NQ POF V GP, Ltd. ("NovaQuest GP"), which is the general partner of NovaQuest Co-Investment Fund XV, L.P. ("NovaQuest"). NovaQuest GP has the power to vote and dispose of any securities directly owned by NovaQuest. NovaQuest GP's investment committee makes voting and investment decisions regarding securities held by NovaQuest. The Reporting Person disclaims beneficial ownership of any securities held by NovaQuest except to the extent of its pecuniary interest therein.