SEC Form 4 · accession 0001209191-15-055603

YIELD10 BIOSCIENCE, INC. · YTEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Jun 19, 2015

Accepted (ET)

Jun 23, 2015 · 12:23 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001121702

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2,F3	Jun 19, 2015	P	1,664,840	$3.32	A	9,784,143	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Warrants^F1	$3.98	Jun 19, 2015	P	1,498,356	A	Jun 19, 2015	Jun 19, 2019	Common Stock	1,498,356	1,498,356	D

F1The reported securities are included within 1,664,840 units of Issuer securities (the "Units") purchased by Schuler Family Foundation for $3.4325 per Unit pursuant to a Securities Purchase Agreement, dated June 15, 2015 by and among the Issuer, the reporting person and certain other qualified institutional and individual investors. Each Unit consists of one share of the Issuer's Common Stock, par value $0.01 per share ("Common Stock") and and nine-tenths of a Common Stock warrant to purchase one share of Common Stock at an exercise price of $3.98 per share (subject to adjustment in the event of stock splits, stock dividends, reclassifications and the like).
F2The shares of Common Stock reported herein give effect to the 1-for-6 reverse stock split which became effective in accordance with the terms of the Certificate of Amendment to the Company's Amended and Restated Certificate of Incorporation filed with the Secretary of State of Delaware on May 26, 2015.
F3The Schuler Family Foundation may be deemed to be a member of a "group" for purposes of Section 13(d) with Jack Schuler and his wife, Renate Schuler but disclaims Section 13(d) beneficial ownership over the securities held by Mr. Schuler and Mrs. Schuler.