0001209191-14-023437.txt : 20140327 0001209191-14-023437.hdr.sgml : 20140327 20140327160036 ACCESSION NUMBER: 0001209191-14-023437 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140325 FILED AS OF DATE: 20140327 DATE AS OF CHANGE: 20140327 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Akebia Therapeutics, Inc. CENTRAL INDEX KEY: 0001517022 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 208756903 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 245 FIRST STREET STREET 2: SUITE 1100 CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 617-871-2098 MAIL ADDRESS: STREET 1: 245 FIRST STREET STREET 2: SUITE 1100 CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Satter Muneer A CENTRAL INDEX KEY: 0001315797 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36352 FILM NUMBER: 14721600 MAIL ADDRESS: STREET 1: C/O GOLDMAN, SACHS & CO. STREET 2: 85 BROAD ST. CITY: NEW YORK STATE: NY ZIP: 10004 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-03-25 0 0001517022 Akebia Therapeutics, Inc. AKBA 0001315797 Satter Muneer A C/O AKEBIA THERAPEUTICS, INC. 245 FIRST STREET, SUITE 1100 CAMBRIDGE MA 02142 1 0 0 0 Common Stock 2014-03-25 4 C 0 1441265 A 1441265 I See Footnotes Common Stock 2014-03-25 4 P 0 91295 17.00 A 1532560 I See Footnote Series B Convertible Preferred Stock 2014-03-25 4 C 0 260873 D Common Stock 456528 0 I See Footnote Series C Convertible Preferred Stock 2014-03-25 4 C 0 525021 D Common Stock 984737 0 I See Footnote Upon the closing of the Issuer's initial public offering, each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a one for 1.75 basis (as adjusted for the 1.75-for-1 stock split effected on March 6, 2014) without payment of further consideration, and have no expiration date. Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock automatically converted into Common Stock with a conversion ratio equal to the Series C Accrued Value (the original issuance price of $14.00, plus accrued but unpaid cash dividends) divided by the Applicable Conversion Price of $14.00, adjusted for the 1.75-for-1 stock split effected on March 6, 2014, as provided in the Issuer's Eighth Amended and Restated Certificate of Incorporation, without payment of further consideration, and have no expiration date. These shares were purchased in connection with the Issuer's initial public offering by various trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all such shares, except to the extent of his pecuniary interest. The amount in column 5 includes (a) 545,340 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 987,220 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote 4, except to the extent of his pecuniary interest. Included (a) 115,944 shares of Series B Convertible Preferred Stock that were held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 144,929 shares of Series B Convertible Preferred Stock that were held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. Included (a) 182,552 shares of Series C Preferred Stock that were held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 342,469 shares of Series C Preferred Stock that were held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. /s/ Robert M. Hayward, P.C., by power of attorney 2014-03-27