0001209191-21-039081.txt : 20210609 0001209191-21-039081.hdr.sgml : 20210609 20210609060333 ACCESSION NUMBER: 0001209191-21-039081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210604 FILED AS OF DATE: 20210609 DATE AS OF CHANGE: 20210609 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Connelly Stephen CENTRAL INDEX KEY: 0001746808 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38692 FILM NUMBER: 211003900 MAIL ADDRESS: STREET 1: 2223 AVENIDA DE LA PLAYA STREET 2: SUITE 108 CITY: LA JOLLA STATE: CA ZIP: 92037 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Equillium, Inc. CENTRAL INDEX KEY: 0001746466 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 821554746 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2223 AVENIDA DE LA PLAYA STREET 2: SUITE 105 CITY: LA JOLLA STATE: CA ZIP: 92037 BUSINESS PHONE: (858) 412-5302 MAIL ADDRESS: STREET 1: 2223 AVENIDA DE LA PLAYA STREET 2: SUITE 105 CITY: LA JOLLA STATE: CA ZIP: 92037 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-06-04 0 0001746466 Equillium, Inc. EQ 0001746808 Connelly Stephen 2223 AVENIDA DE LA PLAYA SUITE 105 LA JOLLA CA 92037 1 1 0 0 Chief Scientific Officer Common Stock 2021-06-04 4 M 0 6509 2.80 A 999509 D Common Stock 2021-06-04 4 S 0 6509 7.0058 D 993000 D Common Stock 2021-06-04 4 M 0 7030 4.75 A 1000030 D Common Stock 2021-06-04 4 S 0 7030 7.005 D 993000 D Common Stock 2021-06-07 4 M 0 8490 2.80 A 1001490 D Common Stock 2021-06-07 4 S 0 8490 7.0842 D 993000 D Common Stock 2021-06-07 4 M 0 13900 4.75 A 1006900 D Common Stock 2021-06-07 4 S 0 13900 7.1413 D 993000 D Common Stock 2021-06-08 4 M 0 10495 4.75 A 1003495 D Common Stock 2021-06-08 4 S 0 10495 7.1763 D 993000 D Employee Stock Option (right to buy) 2.80 2021-06-04 4 M 0 6509 0.00 D 2021-05-19 2030-05-18 Common Stock 6509 8490 D Employee Stock Option (right to buy) 4.75 2021-06-04 4 M 0 7030 0.00 D 2019-12-10 2029-12-09 Common Stock 7030 24845 D Employee Stock Option (right to buy) 2.80 2021-06-07 4 M 0 8490 0.00 D 2021-05-19 2030-05-18 Common Stock 8490 0 D Employee Stock Option (right to buy) 4.75 2021-06-07 4 M 0 13900 0.00 D 2019-12-10 2029-12-09 Common Stock 13900 10945 D Employee Stock Option (right to buy) 4.75 2021-06-08 4 M 0 10945 0.00 D 2019-12-10 2029-12-09 Common Stock 10945 0 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.19, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.04 to $7.48, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4. The option, representing a right to purchase a total of 14,999 shares, became exercisable on May 19, 2021, which was the first anniversary of the date on which the option was granted, and in 36 equal monthly installments thereafter. The option, representing a right to purchase a total of 31,875 shares, became exercisable on December 10, 2020, which was the first anniversary of the date on which the option was granted, and in 36 equal monthly installments thereafter. /s/ Jason A. Keyes, Attorney -in-Fact for Stephen Connelly 2021-06-08