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