SEC Form 4 · accession 0001209191-18-051849
CHIASMA, INC · CHMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Minick
Director
Period of report
Sep 18, 2018
Accepted (ET)
Sep 20, 2018 · 9:21 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 | Sep 18, 2018 | P | 4,000 | $3.07 | A | 63,220 | I | See Footnote |
| Common StockF3,F2 | Sep 19, 2018 | P | 8,000 | $3.06 | A | 71,220 | I | See Footnote |
| Common StockF4,F2 | Sep 20, 2018 | P | 13,000 | $3.09 | A | 84,220 | I | See Footnote |
| Common Stock | holding | — | — | — | 62,531 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $3.0613 to $3.0750, inclusive. The reporting person undertakes to provide to Chiasma, Inc., any security holder of Chiasma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F2The securities are directly held by the Minick Family Trust (the "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.
- F3The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $3.03 to $3.10, inclusive. The reporting person undertakes to provide to Chiasma, Inc., any security holder of Chiasma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $3.0747 to $3.10, inclusive. The reporting person undertakes to provide to Chiasma, Inc., any security holder of Chiasma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.