SEC Form 4 · accession 0001477932-15-003381
Sun BioPharma, Inc. · SNBP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Michael Fuhrman
Officer — President and CEO · Director · 10% Owner
Period of report
May 3, 1996
Accepted (ET)
May 19, 2015 · 5:48 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 |
|---|---|---|---|---|---|---|---|---|
| Class AF1 | May 3, 1996 | J | 50 | $1,000.00 | A | 195 | D | |
| Class AF2 | Nov 21, 1996 | J | 195 | $0.00 | D | 0 | D | |
| CommonF2 | Nov 21, 1996 | J | 348,214 | $0.00 | A | 348,214 | D | |
| CommonF3 | May 10, 2002 | S | 69,478 | $13.54 | D | 278,736 | D | |
| CommonF4 | Mar 31, 2005 | A | 180,000 | $0.01 | A | 458,736 | D | |
| Series A Preferred StockF5 | Mar 16, 2015 | P | 100,060 | $0.10 | A | 100,060 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F150 Class A shares were issued to Mr. Fuhrman in exchange for the cancellation of a founding $50,000 loan to the issuer by Mr. Fuhrman.
- F2All Class A shares converted to Common Stock.
- F369,478 shares of Common Stock sold to Amersham Biosciences as part of its partial acquisition of the issuer.
- F4180,000 shares of Common Stock were issued to Mr. Fuhrman pursuant to Mr. Fuhrman's exercise of employee stock options.
- F5100,059.5 shares of Series A Preferred Stock acquired from preferred stockholders.