SEC Form 4 · accession 0001437749-19-001249
Sun BioPharma, Inc. · SNBP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ryan Randall Gilbertson
10% Owner
Period of report
Aug 15, 2018
Accepted (ET)
Jan 24, 2019 · 11:59 am 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 | Aug 15, 2018 | S$0 | 47,025 | — | D | 0 | I | Northern Capital Partners I, LP |
| Common Stock | holding | — | — | — | 555,538 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F1 | $5.00 | Aug 15, 2018 | S | 47,025 | D | May 16, 2018 | May 16, 2021 | Common Stock | 47,025 | 0 | I |
Explanation of responses
- F147,025 units, with each unit consisting of one share of common stock and a warrant to purchase an additional share of common stock, were sold by the reporting person for an aggregate price of $200,000.