SEC Form 4 · accession 0001615774-16-008888
Enumeral Biomedical Holdings, Inc. · ENUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan P Rothstein
Director
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 5:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561551
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 9, 2016 | M | 200,000 | $0.125 | A | 2,024,415 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Purchase WarrantF2,F1 | $0.50 | Dec 9, 2016 | J | 200,000 | A | — | Dec 9, 2016 | Common Stock | 200,000 | 200,000 | D |
| Common Stock Purchase WarrantF2,F1 | $0.50 | Dec 9, 2016 | M | 200,000 | D | — | Dec 9, 2016 | Common Stock | 200,000 | 0 | D |
Explanation of responses
- F1The Common Stock Purchase Warrants (the "Warrants") are exercisable immediately.
- F2Pursuant to an Offer to Amend and Exercise launched by the Issuer on October 28, 2016 (as subsequently amended, the "Offering"), the exercise price of each Warrant tendered in the Offering was reduced to $0.50 per Warrant, and participants in the Offering received four shares for each Warrant tendered rather than one share. Pursuant to the terms of the Offering, the expiration date of tendered Warrants was accelerated to December 9, 2016. The Reporting Person tendered all of the Warrants beneficially owned that were subject to the Offering.