Amended Statement of Changes in Beneficial Ownership (4/a)
10 January 2023 - 10:41AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Cooper Ronald Harold Wilfred |
2. Issuer Name and Ticker or Trading Symbol
ALBIREO PHARMA, INC.
[
ALBO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
C/O ALBIREO PHARMA, INC., 53 STATE STREET, 19TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/24/2022 |
(Street)
BOSTON, MA 02109
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
10/25/2022 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 10/24/2022 | | S | | 919 (1) | D | $19.5764 | 58501 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | Shares sold pursuant to a Rule 10b5-1 arrangement established in October 2019 to satisfy tax obligations arising out of the vesting of previously granted restricted stock units. |
(2) | Represents 31,106 shares of common stock and 27,395 restricted stock units. Includes 534 shares of common stock acquired under the Albireo Pharma, Inc. 2018 Employee Stock Purchase Plan (the "ESPP") on May 31, 2019; 483 shares of common stock acquired under the ESPP on November 30, 2019; 1,205 shares of common stock acquired under the ESPP on May 31, 2020; and 818 shares of common stock acquired under the ESPP on May 31, 2021. |
Remarks: This amended Form 4 is being filed solely to report the acquisition of an aggregate of 3,040 additional shares of common stock under the ESPP on May 31, 2019, November 30, 2019, May 31, 2020 and May 31, 2021, as described in footnote 2 above. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cooper Ronald Harold Wilfred C/O ALBIREO PHARMA, INC. 53 STATE STREET, 19TH FLOOR BOSTON, MA 02109 | X |
| President and CEO |
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Signatures
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/s/ Jason Duncan, Attorney-in-fact | | 1/9/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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