SEC Form 4 · accession 0001209191-15-083599
BioAmber Inc. · BIOA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A. Hartmann
Officer — Executive Vice President
Period of report
Dec 3, 2015
Accepted (ET)
Dec 4, 2015 · 5:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001534287
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 3, 2015 | X | 121,800 | $1.43 | A | 144,620 | D | |
| Common Stock | Dec 3, 2015 | S | 21,477 | $8.11 | D | 123,143 | D | |
| Common Stock | holding | — | — | — | 4,000 | I | Registered Plan account |
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)F1 | $1.43 | Dec 3, 2015 | X | 121,800 | D | Feb 6, 2009 | Feb 6, 2019 | Common shares | 121,800 | 0 | D |
Explanation of responses
- F1The reporting person exercised a warrant to purchase 121,800 shares of BioAmber Inc. common stock for $1.43 a share. The reporting person paid the exercise price on a cashless basis, resulting in BioAmber Inc. withholding of 21,477 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 100,323 shares.