SEC FORM 3 SEC Form 3
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*
Agresta Samuel

(Last) (First) (Middle)
C/O INFINITY PHARMACEUTICALS, INC.
1100 MASSACHUSETTS AVENUE

(Street)
CAMBRIDGE MA 02138

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/16/2019
3. Issuer Name and Ticker or Trading Symbol
INFINITY PHARMACEUTICALS, INC. [ INFI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
Common Stock 10,593(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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
Stock Option (right to buy) (2) (4) Common Stock 81,250 1.8 D
Stock Option (right to buy) (3) (4) Common Stock 10,433 1.24 D
Explanation of Responses:
1. These 10,593 shares of common stock were acquired by Dr. Agresta on June 14, 2019 during his tenure as the Issuer's Chief Medical Officer and through participation in the issuer's Employee Stock Purchase Plan.
2. This option became exercisable as to 12/48th of the 300,000 shares originally subject to the award on August 6, 2019 and as to 1/48th of such shares at the end of each calendar month thereafter until it ceased vesting upon Dr. Agresta's resignation as the Issuer's Chief Medical Officer on September 13, 2019.
3. This option became exercisable as to 1/48th of the 62,596 shares originally subject to the award on January 31, 2019 and as to 1/48th of such shares at the end of each calendar month thereafter until it ceased vesting upon Dr. Agresta's resignation as the Issuer's Chief Medical Officer on September 13, 2019.
4. Pursuant to a resolution approved by the Issuer's Board of Directors on October 16, 2019, the last date this option may be exercised is the earlier of August 6, 2022, or three months following cessation of Dr. Agresta's service as a member of the Board of Directors.
Remarks:
/s/ Samuel Agresta 10/16/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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