SEC Form 4 · accession 0001437749-18-003135
Sun BioPharma, Inc. · SNBP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T. Cullen
Officer — Executive Chairman · Director · 10% Owner
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 5:37 pm EST
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 StockF1 | Feb 20, 2018 | P$0 | 5,000 | — | A | 194,576 | I | By Cullen Living Trust Dated April 23, 2009 |
| Common Stock | holding | — | — | — | 157,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $5.00 | Feb 20, 2018 | P | 5,000 | A | Feb 20, 2018 | Feb 20, 2021 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Reported securities purchased as one share of common stock and one warrant to purchase one share of common stock for a combined price of $5.00 per "unit."