SEC Form 4 · accession 0001209191-17-067662
PURE BIOSCIENCE, INC. · PURE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tom Y Lee
Director
Period of report
Dec 29, 2017
Accepted (ET)
Dec 29, 2017 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001006028
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 29, 2017 | P$0 | 18,666,666 | — | A | 18,666,666 | I | Plum Investments, L.P. |
| Common Stock | holding | — | — | — | 4,362,490 | D | ||
| Common Stock | holding | — | — | — | 717,665 | I | By Wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1,F2 | $0.75 | Dec 29, 2017 | P | 2,133,333 | A | Aug 29, 2014 | Aug 29, 2019 | Common Stock | 2,133,333 | 2,133,333 | I |
Explanation of responses
- F1Represents a private purchase under the terms of a Securities Transfer Agreement between Reporting Person and Franchise Brands, LLC for an aggregate purchase price of $8,399,999.70.
- F2Mr. Lee is the general partner and sole limited partner of Plum Investments, L.P., and has ultimate voting and investment control over the shares held by Plum Investments, L.P.