AN2 Therapeutics Inc.

11/05/2024 | Press release | Distributed by Public on 11/05/2024 15:50

Initial Statement of Beneficial Ownership - Form 3

Ownership Submission
FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person *
Prior Stephen David
2. Date of Event Requiring Statement (Month/Day/Year)
2024-11-04 		3. Issuer Name and Ticker or Trading Symbol
AN2 Therapeutics, Inc. [ANTX]
(Last) (First) (Middle)
C/O AN2 THERAPEUTICS, INC. , 1800 EL CAMINO REAL, SUITE D
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
Chief Strategy Officer /
5. If Amendment, Date Original Filed (Month/Day/Year)
(Street)
MENLO PARK CA 94027
6. Individual or Join/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security 2. Amount of Securities Beneficially Owned 3. Ownership Form: Direct (D) or Indirect (I) 4. Nature of Indirect Beneficial Ownership
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security 2. Date Exercisable and Expiration Date 3. Title and Amount of Securities Underlying Derivative Security 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) 6. Nature of Indirect Beneficial Ownership
Date Exercisable Expriation Date Title Amount or Number of Shares

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Prior Stephen David
C/O AN2 THERAPEUTICS, INC.
1800 EL CAMINO REAL, SUITE D
MENLO PARK, CA94027

Chief Strategy Officer

Signatures

/s/ Lucy Day, Attorney-in-Fact for Stephen David Prior 2024-11-05
**Signature of Reporting Person Date

Explanation of Responses:

(*) If the form is filed by more than one reporting person, see Instruction 5(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) Includes a balance of 17,500 Restricted Stock Units ("RSUs"). RSUs vest as follows: 1/16th of RSUs vest quarterly over four years from January 1, 2024 until fully vested on January 1, 2028, subject to the Reporting Person's continuous service as of such date.
(2) The shares subject to the option are exercisable and vest as follows: 1/4th of the shares vest and becomes exercisable on September 20, 2023. Thereafter, 1/48th of the shares vest and becomes exercisable monthly over the following three years until fully vested and exercisable on September 20, 2026, subject to the Reporting Person's continuous service as of such date.
(3) The shares subject to the option are exercisable and vest as follows: 1/48th of the shares vest and becomes exercisable monthly over four years from January 1, 2023 until fully vested and exercisable on January 1, 2027, subject to the Reporting Person's continuous service as of such date.
(4) The shares subject to the option shall continue to vest and become exercisable as originally approved through December 31, 2024. On January 1, 2025, 1/3 of the remaining unvested shares (rounded down to the nearest whole number of shares) shall vest and all remaining unvested shares shall vest on January 1, 2026, in each case, subject to the Reporting Person continuing to provide services to the Company as an employee, consultant or director of the Company through each applicable vesting date.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.