SEC Form 3 · accession 0000899243-16-019341
Spring Bank Pharmaceuticals, Inc. · SBPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Bates
Director
Period of report
May 5, 2016
Accepted (ET)
May 5, 2016 · 9:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001566373
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 141,756 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $9.28 | holding | — | — | — | — | Mar 30, 2025 | Common Stock | 10,000 | — | D |
Explanation of responses
- F1These shares are directly held by Jonathan E & Elizabeth W Bates TTEE Bates Family Trust DTD 10/28/14 (the "Trust"). The Reporting Person and the Reporting Person's immediate family members are beneficiaries of the Trust, and the Reporting Person is a trustee of the Trust.
- F2This option is fully vested.
Remarks
Exhibit Index: 24.1 Power of Attorney