SEC Form 4 · accession 0001477932-15-006851
Sun BioPharma, Inc. · SNBP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert John Sargent
Other
Period of report
Sep 8, 2015
Accepted (ET)
Nov 10, 2015 · 7:21 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 | Sep 8, 2015 | S$0 | 216,705 | — | D | 74,825 | I | By Rare Principle, L.C. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Sargent (through his entity) sold $125,000 of the issuer's debt and 216,705 shares of the issuer's common stock for $125,000 pursuant to transactions reported in the issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission ("SEC") on August 13, 2015, Current Report on Form 8-K filed with the SEC on September 11, 2015, and Schedule 14C filed with the SEC on August 7, 2015, among others.