Initial Statement of Beneficial Ownership (3)
November 23 2020 - 5:02PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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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
*
DENNER ALEXANDER J |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/22/2020
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3. Issuer Name and Ticker or Trading Symbol
Iterum Therapeutics plc [ITRM]
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(Last)
(First)
(Middle)
C/O SARISSA CAPITAL MANAGEMENT LP, 660 STEAMBOAT ROAD, 3RD FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
GREENWICH, CT 06830
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
6.500% Exchangeable Senior Subordinated Note due 2025 | 1/21/2021 | 1/31/2025 | Ordinary Shares | 19292768 (1)(2)(3)(4) | $.7775 | I | See footnotes (1)(2)(3)(4) |
Explanation of Responses: |
(1) | See Exhibit 99.1 |
(2) | See Exhibit 99.1 |
(3) | See Exhibit 99.1 |
(4) | See Exhibit 99.1 |
Remarks: Exhibit List: ------------- Exhibit 99.1 |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DENNER ALEXANDER J C/O SARISSA CAPITAL MANAGEMENT LP 660 STEAMBOAT ROAD, 3RD FLOOR GREENWICH, CT 06830 |
| X |
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Sarissa Capital Management LP 660 STEAMBOAT ROAD 3RD FLOOR GREENWICH, CT 06830 |
| X |
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Sarissa Capital Offshore Master Fund LP C/O SARISSA CAPITAL MANAGEMENT 660 STEAMBOAT ROAD 3RD FLOOR GREENWICH, CT 06830 |
| X |
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Sarissa Capital Catapult Fund LLC C/O SARISSA CAPITAL MANAGEMENT LP 660 STEAMBOAT ROAD, 3RD FLOOR GREENWICH, CT 06830 |
| X |
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Sarissa Capital Hawkeye Fund LP C/O SARISSA CAPITAL MANAGEMENT LP 660 STEAMBOAT ROAD, 3RD FLOOR GREENWICH, CT 06830 |
| X |
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Sarissa Capital Master Fund II LP C/O SARISSA CAPITAL MANAGEMENT LP 660 STEAMBOAT ROAD, 3RD FLOOR GREENWICH, CT 06830 |
| X |
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Signatures
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SARISSA CAPITAL MANAGEMENT LP; By: /s/ Mark DePaolo, Senior Partner, General Counsel | | 11/23/2020 |
**Signature of Reporting Person | Date |
SARISSA CAPITAL OFFSHORE MASTER FUND LP; By: /s/ Mark DiPaolo, Authorized Person | | 11/23/2020 |
**Signature of Reporting Person | Date |
SARISSA CAPITAL CATAPULT FUND LLC; /s/ Mark DiPaolo, Authorized Person | | 11/23/2020 |
**Signature of Reporting Person | Date |
SARISSA CAPITAL HAWKEYE FUND LP; By: /s/ Mark DiPaolo, Authorized Person | | 11/23/2020 |
**Signature of Reporting Person | Date |
SARISSA CAPITAL MASTER FUND II LP; By: /s/ Mark DiPaolo, Authorized Person | | 11/23/2020 |
**Signature of Reporting Person | Date |
/s/ Alexander J. Denner | | 11/23/2020 |
**Signature of Reporting Person | Date |
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