SEC Form 4 · accession 0001225208-16-042414
BioPharmX Corp · BPMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
FRANKLIN RESOURCES INC
10% Owner
Period of report
Nov 22, 2016
Accepted (ET)
Nov 30, 2016 · 6:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001504167
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 22, 2016 | P$0 | 4,375,000 | $0.00 | A | 9,499,615 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A WarrantsF1,F2,F3,F4 | $0.35 | Nov 22, 2016 | P | 4,375,000 | A | — | — | Common Stock | 3,281,250 | 4,375,000 | I |
Explanation of responses
- F1See Exhibit 99-1 for text of footnote, which Exhibit is incorporated by reference herein.
- F2See Exhibits 99-2 and 99-5 for text of footnote, which Exhibits are incorporated by reference herein.
- F3See Exhibit 99-3 for text of footnote, which Exhibit is incorporated by reference herein.
- F4See Exhibit 99-4 for text of footnote, which Exhibit is incorporated by reference herein.
Remarks
ex99-1.txt, ex99-2.txt, ex99-3.txt, ex99-4.txt, ex99-5.txt