SEC Form 4 · accession 0001209191-18-024915
CohBar, Inc. · CWBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon Leland Stern
Officer — Chief Operating Officer · Director
Period of report
Apr 13, 2018
Accepted (ET)
Apr 16, 2018 · 1:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001522602
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 13, 2018 | X | 6,982 | $0.50 | D | 589,982 | D | |
| Common StockF1 | holding | — | — | — | 11,000 | I | By Child A | |
| Common StockF1 | holding | — | — | — | 11,000 | I | By Child B |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F3,F2 | $0.50 | Apr 13, 2018 | X | 6,982 | D | Jan 9, 2014 | — | Common Stock | 6,982 | 0 | D |
| Warrants (right to buy)F4 | $5.30 | Apr 13, 2018 | P | 8,000 | A | Apr 13, 2018 | Mar 29, 2021 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Consists of previously reported shares directly beneficially owned by the reporting person.
- F2The warrants expire on the earlier to occur of January 9, 2019 or certain liquidation events.
- F3The subject warrant was issued pursuant to a Note and Warrant Purchase Agreement, dated January 9, 2014 (the "2014 Agreement"), between the issuer, the Reporting Person and the other note purchasers thereunder. Each Purchaser under the 2014 Agreement received a warrant to purchase 6,982 shares of common stock in connection with their purchases of $70,000 principal amount of zero interest convertible promissory notes.
- F4The subject warrant was issued pursuant to a Note and Warrant Purchase Agreement (the "2018 Agreement") between the Issuer and the Reporting Person. Purchasers under the 2018 Agreement received a warrant to purchase one share of common stock for each $5.00 original principal amount of the non-convertible unsecured promissory note purchased under the 2018 Agreement.