Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
INFORMATION TO BE INCLUDED
IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS
THERETO FILED PURSUANT TO 240.13d-2(a) UNDER THE SECURITIES EXCHANGE
ACT OF 1934
(Amendment No. 6)*
SPERO THERAPEUTICS, INC.
(Name of Issuer)
Common Stock, Par Value $0.001
(Title of Class of Securities)
84833T 10 3
(CUSIP Number)
Victoria A. Whyte
GlaxoSmithKline plc
980 Great West Road
Brentford, Middlesex TW8 9GS
England
Telephone: +44 (0)208 047 5000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
August 5, 2021
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
Cusip No. 84833T 10 3 | 13D/A6 | Page 2 of 7 |
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) GlaxoSmithKline plc |
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2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ☐ (b) ☐ |
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3. | SEC USE ONLY |
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4. | SOURCE OF FUNDS (see instructions) WC |
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5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) X | |||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION England and Wales |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE VOTING POWER 1,740,606 | ||
8. | SHARED VOTING POWER -0- | |||
9. | SOLE DISPOSITIVE POWER 1,740,606 | |||
10. | SHARED DISPOSITIVE POWER -0- |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,740,606 shares of Common Stock (1) |
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12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐ |
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13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.4% of the shares of Common Stock (2) |
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14. | TYPE OF REPORTING PERSON (see instructions) CO |
Footnotes: | ||||
(1) Common Stock are held of record by GSK Equity Investments, Limited, formerly S.R. One, Limited, an indirect, wholly-owned subsidiary of the Reporting Person. (2) Based on 32,146,847 shares of the Issuer’s Common Stock outstanding as of July 29, 2021, as reported in the Issuer’s quarterly report for the quarter period ending June 30, 2021 on the Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on August 5, 2021. |
Cusip No. 84833T 10 3 | 13D/A6 | Page 3 of 7 |
Item 1. Security and Issuer.
This Amendment No. 6 to Schedule 13D (this “Statement”) amends and supplements the statement on Schedule 13D originally filed on November 16, 2017 and amended on July 17, 2018, September 19, 2018, February 14, 2020, June 4, 2020 and December 7, 2020 (the “Schedule 13D”) with respect to the shares of common stock, par value $0.001 per share (the “Common Stock”), of Spero Therapeutics, Inc., a Delaware corporation (the “Issuer”). GlaxoSmithKline plc is filing this amendment to reflect its new percentage beneficial ownership in the Issuer, which has decreased as a result of an increase in the outstanding Common Stock of the Issuer. The Issuer’s principal executive offices are located at 675 Massachusetts Avenue, 14th Floor, Cambridge, Massachusetts 02139.
Item 2. Identity and Background.
The response set forth in Item 2 of the Schedule 13D is hereby amended by deleting Schedule 1 in its entirety and replacing it with Schedule 1 attached
Item 5. Interest in Securities of the Issuer.
The response set forth in Item 5 of the Schedule 13D is hereby amended by deleting the previous response in its entirety and replacing it with the following:
(a), (b) The information contained in rows 7, 8, 9, 10, 11, and 13 on each of the cover pages of this Statement is incorporated by reference in its entirety into this Item 5.
Cusip No. 84833T 10 3 |
13D/A6 | Page 4 of 7 |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: September 16, 2021
GLAXOSMITHKLINE PLC | ||
By: | /s/ Victoria A. Whyte | |
Name: | Victoria A. Whyte | |
Title: | Authorized Signatory |
Cusip No. 84833T 10 3 |
13D/A6 | Page 5 of 7 |
Schedule 1
Name |
Business Address |
Principal Occupation or Employment |
Citizenship |
Board of Directors | |||
Emma Walmsley | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Executive Director and Chief Executive Officer | British |
Charles Bancroft | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director
|
US |
Manvinder Singh Banga | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director
|
British & Indian
|
Dr. Hal Barron | 269 E. Grand Avenue, South San Francisco, CA 94080
|
Executive Director and Chief Scientific Officer | US |
Dr. Anne Beal | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director | US |
Dr. Vivienne Cox | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director | British |
Lynn Elsenhans | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director | US |
Dr. Jesse Goodman | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director | US |
Dr Laurie Glimcher | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director | US |
Cusip No. 84833T 10 3 |
13D/A6 | Page 6 of 7 |
Iain MacKay | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Executive Director & Chief Financial Officer | British |
Urs Rohner
|
980
Great West Road Brentford Middlesex, England TW8 9GS |
Company Director | Swiss |
Sir Jonathan Symonds | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Chairman and Company Director | British |
Corporate Executive Team | ||||
Emma Walmsley | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Executive Director and Chief Executive Officer | British | |
Dr. Hal Barron | 269 E. Grand Avenue, South San Francisco, CA 94080 |
Executive Director and Chief Scientific Officer | US | |
Roger Connor | 980
Great West Road Brentford Middlesex, England TW8 9GS |
President, Global Vaccines | Irish | |
Diana Conrad | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Senior Vice President, Human Resources | Canadian | |
James Ford | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Senior Vice President & General Counsel | British & US | |
Nick Hirons | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Senior Vice President, Global Ethics and Compliance | British & US | |
Sally Jackson | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Senior Vice President, Global Communications and CEO Office | British |
Cusip No. 84833T 10 3 |
13D/A6 | Page 7 of 7 |
Iain MacKay | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Executive Director & Chief Financial Officer | British |
Brian McNamara | 184
Liberty Corner Road Warren NJ, 07059 |
Chief Executive Officer, GSK Consumer Healthcare | US |
Luke Miels
|
980
Great West Road Brentford Middlesex, England TW8 9GS |
President, Global Pharmaceuticals | Australian |
David Redfern | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Chief Strategy Officer | British |
Regis Simard | 980
Great West Road Brentford Middlesex, England TW8 9GS |
President Pharmaceutical Supply Chain | French & British |
Karenann Terrell | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Chief Digital and Technology Officer | Canadian |
Philip Thomson | 980
Great West Road Brentford Middlesex, England TW8 9GS |
President, Global Affairs | British |
Deborah Waterhouse | 980
Great West Road Brentford Middlesex, England TW8 9GS |
Chief Executive Officer of ViiV Healthcare | British |