SEC Form 4 · accession 0001437749-18-011850
Sun BioPharma, Inc. · SNBP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David B Kaysen
Officer — President and CEO · Director
Period of report
May 16, 2018
Accepted (ET)
Jun 14, 2018 · 5:20 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 StockF1 | May 16, 2018 | P$0 | 1,000 | — | A | 51,000 | 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 | May 16, 2018 | P | 1,000 | A | May 16, 2018 | May 16, 2021 | Common Stock | 1,000 | 1,000 | D |
Explanation of responses
- F1Reflects purchase of 1,000 units from the issuer at a price equal to $5.00 per unit. Each unit consisted of one share of common stock and a warrant to purchase an additional share of common stock.