SEC Form 4 · accession 0001209191-17-053727
CHIASMA, INC · CHMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Minick
Director
Period of report
Sep 20, 2017
Accepted (ET)
Sep 22, 2017 · 4:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001339469
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Sep 20, 2017 | P | 15,000 | $2.3793 | A | 49,220 | I | See Footnote |
| Common StockF4,F2,F3 | Sep 21, 2017 | P | 10,000 | $2.3569 | A | 59,220 | I | See Footnote |
| Common StockF2 | holding | — | — | — | 62,531 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $2.3736 to $2.3871. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2The Form 4 filed on July 22, 2015 (the "July 2015 Form 4") incorrectly reported the aggregate shares held by the Reporting Person, directly and indirectly, in the second row of Column 5. As of July 21, 2015, the Reporting Person beneficially owned 62,531 shares of common stock of the Issuer directly and 34,220 shares of common stock of the Issuer, including a warrant to purchase 6,844 shares of common stock of the Issuer, indirectly through the Minick Family Trust ("MFT"). This Form 4 reflects the transactions reported herein and corrects the total shares directly and indirectly held in Column 5.
- F3The securities are directly held by MFT. The Reporting Person is the co-trustee of MFT and disclaims beneficial ownership of all the shares except to the extent of his pecuniary interest, if any, therein.
- F4This transaction was executed in multiple trades at prices ranging from $2.3354 to $2.3783. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.