11/06/2025 | Press release | Distributed by Public on 11/06/2025 17:12
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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| 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 1474 (9-02) | ||
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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 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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Eizen Joshua M C/O AN2 THERAPEUTICS, INC. 1300 EL CAMINO REAL, SUITE 100 MENLO PARK, CA 94025 |
See Remarks | |||
| /s/ Lucy Day, Attorney-in-Fact for Joshua M. Eizen | 11/06/2025 | |
| **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) | Represents shares sold pursuant to the terms of the grant to satisfy tax withholding obligations arising from the vesting of Restricted Stock Units ("RSUs") on November 4, 2025. |
| (2) | Includes, in accordance with the original terms, (a) 31,500 RSUs which vest as follows: 1/4th of the RSUs vest annually over four years from November 4, 2024 (b) 22,500 RSUs which vest as follows: 1/3rd of the RSUs vest annually over three years from January 1, 2025 and (c) 45,000 RSUs which vest as follows: 2/3rd of the RSUs vest on January 1, 2026 and 1/3rd of the RSUs vest on July 1, 2026, subject to the Reporting Person's continuous service as of such date. |
| (3) | Reflects the adjusted total which includes the purchase of 5,000 shares under the Issuer's 2022 Employee Stock Purchase Plan on September 30, 2025. |
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Remarks: Chief Operating Officer and Chief Legal Officer |
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