Statement of Changes in Beneficial Ownership (4)
20 Januar 2022 - 10:53PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * Duncan Jason |
2. Issuer Name and Ticker or Trading
Symbol ALBIREO PHARMA, INC. [ ALBO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Legal Officer and GC |
|
(Last)
(First)
(Middle)
C/O ALBIREO PHARMA, INC., 10 POST OFFICE SQUARE, SUITE
1000 |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/18/2022
|
|
(Street)
BOSTON, MA 02109
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
1/18/2022 |
|
A |
|
10800 (1) |
A |
$0.00 |
18351 (2) |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Stock Option (right to buy) |
$26.75 |
1/18/2022 |
|
A |
|
15900 |
|
(3) |
1/17/2032 |
Common Stock |
15900 |
$0.00 |
15900 |
D |
|
| Explanation of
Responses: |
| (1) |
Consists of restricted stock
units ("RSUs"). Each RSU represents the right to receive one share
of common stock upon vesting. The RSUs vest as to 25% of the shares
on January 18, 2023, with the remainder vesting in equal
installments every three months thereafter beginning on April 18,
2023 and ending on January 18, 2026. |
| (2) |
Represents 488 shares of
common stock and 17,863 restricted stock units. Includes 196 shares
of common stock acquired under the Albireo Pharma, Inc. 2018
Employee Stock Purchase Plan on November 30, 2021. |
| (3) |
This option vests as to 25%
of the shares on January 18, 2023, with the remainder vesting in
equal installments every three months thereafter beginning on April
18, 2023 and ending on January 18, 2026. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Duncan Jason
C/O ALBIREO PHARMA, INC.
10 POST OFFICE SQUARE, SUITE 1000
BOSTON, MA 02109 |
|
|
Chief Legal Officer and GC |
|
Signatures
|
|
/s/ Jason Duncan |
|
1/20/2022 |
| **Signature of Reporting
Person |
Date |
Albireo Pharma (NASDAQ:ALBO)
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