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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Warrant to Purchase Common Stock | $ 19.5 (1) | 06/28/2017 | Â | A | 13,120 (1) | Â | 01/28/2018 | 06/28/2022 | Common Stock | $ 0 | 13,120 (1) | See footnote (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Merck & Co., Inc. 2000 GALLOPING HILL ROAD KENILWORTH, NJ 07033 |
 |  X |  |  |
Merck Sharp & Dohme Corp. 2000 GALLOPING HILL ROAD KENILWORTH, NJ 07033 |
 |  X |  |  |
Merck Global Health Innovation Fund, LLC ONE MERCK DRIVE WHITEHOUSE STATION, NJ 08889 |
 |  X |  |  |
/s/Katie Fedosz as Attorney-In-Fact* | 02/08/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These amounts reflect the Issuer's recently announced and effectuated a 1 for 25 reverse stock split on January 17, 2018. |
(2) | These securities are owned directly by Merck Global Health Innovation Fund, LLC ("MGHIF"), which is a wholly owned subsidiary of Merck Sharp & Dohme Corp. ("MSD"), which is a wholly owned subsidiary of Merck & Co., Inc. ("Merck"). MSD and Merck are indirect beneficial owners of the reported securities. |
 Remarks: The reporting person ceased to be a 10% owner on February 7, 2018, as a result of the Issuer's February 7, 2018 public offering.  Accordingly, the reporting person is no longer subject to Section 16 in connection with the Issuer and therefore, will no longer report any transaction on Form 4 or Form 5 until such time, if any, that the reporting person becomes a 10% owner again. * Ms. Katie Fedosz is signing as Attorney-in-Fact pursuant to power of attorney dated July 23, 2015 granted by each Reporting Person, a copy of which was filed as an exhibit to Form 3 filed on July 23, 2015 and incorporated herein by reference. |