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SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940 		 
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
X
 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SR ONE CAPITAL MANAGEMENT, LLC
(Last) (First) (Middle)
985 OLD EAGLE SCHOOL ROAD
SUITE 511
(Street)
WAYNE PA 19087
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
eFFECTOR Therapeutics, Inc. [ EFTR ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/27/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Rule 10b5-1(c) Transaction Indication

  
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/27/2023 S 430,578 D $0.6065(1) 4,391,536 I See Note 2(2)
Common Stock 11/27/2023 S 178,585 D $0.6065(1) 1,821,415 I See Note 3(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
SR ONE CAPITAL MANAGEMENT, LLC
(Last) (First) (Middle)
985 OLD EAGLE SCHOOL ROAD
SUITE 511
(Street)
WAYNE PA 19087
(City) (State) (Zip)
1. Name and Address of Reporting Person*
SR One Capital Fund I Aggregator LP
(Last) (First) (Middle)
6005 HIDDEN VALLEY ROAD
SUITE 110
(Street)
CARLSBAD CA 92011
(City) (State) (Zip)
1. Name and Address of Reporting Person*
SR ONE CAPITAL PARTNERS I, LP
(Last) (First) (Middle)
985 OLD EAGLE SCHOOL ROAD
SUITE 511
(Street)
WAYNE PA 19087
(City) (State) (Zip)
1. Name and Address of Reporting Person*
SR One Co-Invest I, LLC
(Last) (First) (Middle)
985 OLD EAGLE SCHOOL ROAD
SUITE 511
(Street)
WAYNE PA 19087
(City) (State) (Zip)
1. Name and Address of Reporting Person*
SR One Co-Invest I Manager, LLC
(Last) (First) (Middle)
985 OLD EAGLE SCHOOL ROAD
SUITE 511
(Street)
WAYNE PA 19087
(City) (State) (Zip)
1. Name and Address of Reporting Person*
George Simeon
(Last) (First) (Middle)
985 OLD EAGLE SCHOOL ROAD
SUITE 511
(Street)
WAYNE PA 19087
(City) (State) (Zip)
Explanation of Responses:
1. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5691 to $0.68 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
2. The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management (SR One Partners I, SR One Capital Management, and Dr. George together, the "Fund I Indirect Reporting Persons"). The Fund I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Fund I Indirect Reporting Persons have no pecuniary interest.
3. The securities are directly held by SR One Co-Invest I, LLC ("SR One Co-Invest I"). SR One Co-Invest I Manager, LLC ("SR One Co-Invest I Manager") is the managing member of SR One Co-Invest I and SR One Capital Management is the managing member of SR One Co-Invest I Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest I Manager, SR One Capital Management, and Dr. George together, the "Co-Invest I Indirect Reporting Persons"). The Co-Invest I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest I in which the Co-Invest I Indirect Reporting Persons have no pecuniary interest.
Remarks:
/s/ Sasha Keough, attorney-in-fact for SR One Capital Management, LLC 11/29/2023
Sasha Keough, attorney-in-fact for SR One Capital Fund I Aggregator, LP 11/29/2023
Sasha Keough, attorney-in-fact for SR One Capital Partners I, LP 11/29/2023
Sasha Keough, attorney-in-fact for SR One Co-Invest I, LLC 11/29/2023
Sasha Keough, attorney-in-fact for SR One Co-Invest I Manager, LLC 11/29/2023
Sasha Keough, attorney-in-fact for Simeon George 11/29/2023
** 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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
LIMITED POWER OF ATTORNEY

       Know all by these presents, that the undersigned hereby makes,
constitutes and appoints Sasha Keough, Karen Narolewski-Engel, James Macadam,
and Alexander M. Bowling, and each of them singly, as each of the undersigned's
true and lawful attorneys-in-fact with full power and authority as hereinafter
described to:

       1.	execute for and on behalf of each of the undersigned individual and
entities (each, a "Filer" and collectively, the "Filers") (i) Forms 3, 4, and 5
(including amendments thereto) in accordance with Section 16(a) of the
Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules
thereunder, (ii) Form 144 in accordance with Rule 144 under the Securities Act
of 1933, as amended (the "Securities Act"), and (iii) Schedules 13D and 13G
(including amendments thereto) in accordance with Sections 13(d) and 13(g) of
the Exchange Act  and the rules thereunder;

       2.	do and perform any and all acts for and on behalf of each of the
Filers which may be necessary or desirable to complete and execute any such Form
3, 4, or 5 (including amendments thereto), Form 144, or Schedule 13D or 13G
(including amendments thereto) and timely file such form with the United States
Securities and Exchange Commission (the "SEC") and any stock exchange or similar
authority, including, but not limited to, executing a Form ID or Update
Passphrase request for and on behalf of each of the undersigned and filing such
applications with the SEC; and

       3.	take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, a Filer, it being understood
that the documents executed by such attorney-in-fact on behalf of such Filer
pursuant to this Limited Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-
fact's discretion.

       Each of the Filers hereby grants to each attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes a Filer might or could do
if personally present, with full power of substitution or revocation, hereby
ratifying and confirming all the acts such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this Limited Power of Attorney and the rights and powers
herein granted. Each of the Filers acknowledges that each of the foregoing
attorneys-in-fact, in serving in such capacity at the request of such Filer, is
not assuming any of such Filer's responsibilities to comply with Sections 13 or
16 of the Exchange Act or Rule 144 under the Securities Act.

       This Limited Power of Attorney shall remain in full force and effect
until a Filer is no longer required to file Forms 3, 4, and 5 (including
amendments thereto), Form 144, and Schedules 13D and 13G (including amendments
thereto) with respect to such Filer's holdings of and transactions in
securities, unless earlier revoked by such Filer in a signed writing delivered
to each of the foregoing attorneys-in-fact. In addition, at such time as any
attorney-in-fact resigns as attorney-in-fact by the execution of a written
resignation delivered to each Filer, without any action on the part of the
Filers, this Limited Power of Attorney shall be partially revoked solely with
respect to such individual; such individual shall cease to be an
attorney-in-fact under this Limited Power of Attorney; and the authority of the
other attorneys-in-fact then existing hereunder shall remain in full force and
effect.

[Signature page follows]

       IN WITNESS WHEREOF, each of the undersigned has caused this Limited Power
of Attorney to be executed as of this 12th day of December, 2022.

/s/ Simeon George
Simeon George (Individually)

SR One Capital Management, LLC,
a Delaware limited liability company
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Fund I Aggregator, LP,
a Delaware limited partnership
By: SR One Capital Partners I, LP,
a Delaware limited partnership
Its: General Partner
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Partners I, LP,
a Delaware limited partnership
By: SR One Capital Management, LLC
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Fund II Aggregator, LP,
a Delaware limited partnership
By: SR One Capital Partners II, LP,
a Delaware limited partnership
Its: General Partner
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Partners II, LP,
a Delaware limited partnership
By: SR One Capital Management, LLC
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Opportunities Fund I, LP,
a Delaware limited partnership

By: SR One Capital Opportunities Partners I, LP,
a Delaware limited partnership
Its: General Partner
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member


SR One Capital Opportunities Partners I, LP,
a Delaware limited partnership
By: SR One Capital Management, LLC
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager I, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest I, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager I, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By: /s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest Manager II, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George

Simeon George, Managing Member
SR One Co-Invest II, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager II, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager III, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest III, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager III, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager IV, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest IV, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager IV, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest IV-A, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager III, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager V, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest V, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager V, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest Manager VI, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest VI, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager VI, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager VII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest VII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager VII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager VIII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest VIII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager VIII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager IX, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest IX, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager IX, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager X, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest X, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager X, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager XI, LLC,
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XI, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XI, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest Manager XII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George________________
Simeon George, Managing Member

SR One Co-Invest Manager XIII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XIII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XIII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager XIV, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XIV, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XIV, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager XV, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XV, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member