SEC Form 3 · accession 0001437749-15-017254
Sun BioPharma, Inc. · SNBP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas X. Neenan
Officer — Chief Scientific Officer · Director
Period of report
Sep 4, 2015
Accepted (ET)
Sep 14, 2015 · 5:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001029125
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 400,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.11 | holding | — | — | — | Sep 4, 2015 | Jun 13, 2023 | Common Stock | 40,000 | — | D |
| Stock Option (right to buy)F1 | $0.25 | holding | — | — | — | — | Jan 22, 2024 | Common Stock | 40,000 | — | D |
| Stock Option (right to buy) | $0.2275 | holding | — | — | — | Sep 4, 2015 | Jul 31, 2024 | Common Stock | 60,000 | — | D |
| Stock Option (right to buy) | $0.3175 | holding | — | — | — | Sep 4, 2015 | Mar 5, 2025 | Common Stock | 300,000 | — | D |
Explanation of responses
- F1The stock option became exercisable as to 35,000 shares on September 4, 2015, and becomes exercisable as to the remaining 5,000shares on January 1, 2016.