Form 4 for GUTS FRACTYL HEALTH, INC.
Accepted 2024-02-08 00:00:00 ET · period of report 2024-02-06 · accession 0001104659-24-012332 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2024-02-08 | 2024-02-06 | GUTS | AMERICAN INTERNATIONAL GROUP, INC. | 10% | C - Cnv Deriv | — | +1.34M | 283.9K | New | — |
| DMI | 2024-02-08 | 2024-02-06 | GUTS | AMERICAN INTERNATIONAL GROUP, INC. | 10% | C - Cnv Deriv | $0.00 | -2.87M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-02-06 | C | A | 199,257 | — | 199,257 | I Held by National Union Fire Insurance Company of Pittsburgh, Pa. | — | — | (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. (F5) National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc. |
| 2 | Common | Common Stock | 2024-02-06 | C | A | 182,735 | — | 182,735 | I Held by Lexington Insurance Company | — | — | (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. (F4) Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. |
| 3 | Common | Common Stock | 2024-02-06 | C | A | 673,391 | — | 673,391 | I Held by Corebridge DECO II, LLC | — | — | (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. (F2) Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc. |
| 4 | Common | Common Stock | 2024-02-06 | C | A | 283,878 | — | 283,878 | I Held by American Home Assurance Company | — | — | (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. (F3) American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. |
| 5 | Derivative | Series E Preferred Shares | 2024-02-06 | C | D | 1,172,236 | $0.00 | 0 | I Held by Corebridge DECO II, LLC | — · — to — | 546,242 Common Stock | (F2) Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |
| 6 | Derivative | Series E Preferred Shares | 2024-02-06 | C | D | 494,173 | $0.00 | 0 | I Held by American Home Assurance Company | — · — to — | 230,276 Common Stock | (F3) American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |
| 7 | Derivative | Series E Preferred Shares | 2024-02-06 | C | D | 318,105 | $0.00 | 0 | I Held by Lexington Insurance Company | — · — to — | 148,231 Common Stock | (F4) Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |
| 8 | Derivative | Series E Preferred Shares | 2024-02-06 | C | D | 346,868 | $0.00 | 0 | I Held by National Union Fire Insurance Company of Pittsburgh, Pa. | — · — to — | 161,634 Common Stock | (F5) National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |
| 9 | Derivative | Series F Preferred Shares | 2024-02-06 | C | D | 272,863 | $0.00 | 0 | I Held by Corebridge DECO II, LLC | — · — to — | 127,149 Common Stock | (F2) Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |
| 10 | Derivative | Series F Preferred Shares | 2024-02-06 | C | D | 80,741 | $0.00 | 0 | I Held by National Union Fire Insurance Company of Pittsburgh, Pa. | — · — to — | 37,623 Common Stock | (F5) National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |
| 11 | Derivative | Series F Preferred Shares | 2024-02-06 | C | D | 115,030 | $0.00 | 0 | I Held by American Home Assurance Company | — · — to — | 53,602 Common Stock | (F3) American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |
| 12 | Derivative | Series F Preferred Shares | 2024-02-06 | C | D | 74,046 | $0.00 | 0 | I Held by Lexington Insurance Company | — · — to — | 34,504 Common Stock | (F4) Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc. (F1) The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date. |