SEC Form 4 · accession 0000899243-16-019806
Spring Bank Pharmaceuticals, Inc. · SBPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Kurt M Eichler
Director
Period of report
May 11, 2016
Accepted (ET)
May 12, 2016 · 6:41 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 Stock | May 11, 2016 | P | 41,666 | $12.00 | A | 423,990 | D | |
| Common StockF2 | May 11, 2016 | X | 9,375 | $8.00 | A | 19,375 | I | See Footnote |
| Common StockF3 | May 11, 2016 | X | 9,375 | $8.00 | A | 19,375 | I | See Footnote |
| Common StockF4 | May 11, 2016 | X | 9,375 | $8.00 | A | 19,375 | I | See Footnote |
| Common StockF5 | May 11, 2016 | X | 9,375 | $8.00 | A | 19,375 | I | See Footnote |
| Common StockF2 | May 11, 2016 | X | 10,416 | $9.00 | A | 29,791 | I | See Footnote |
| Common StockF3 | May 11, 2016 | X | 10,416 | $9.00 | A | 29,791 | I | See Footnote |
| Common StockF4 | May 11, 2016 | X | 10,416 | $9.00 | A | 29,791 | I | See Footnote |
| Common StockF5 | May 11, 2016 | X | 10,416 | $9.00 | A | 29,791 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F7,F6 | $8.00 | May 11, 2016 | X | 9 | D | — | Oct 26, 2017 | Common Stock | 9,375 | 0 | I |
| Warrant (right to buy)F8,F6 | $8.00 | May 11, 2016 | X | 9 | D | — | Oct 26, 2017 | Common Stock | 9,375 | 0 | I |
| Warrant (right to buy)F9,F6 | $8.00 | May 11, 2016 | X | 9 | D | — | Oct 26, 2017 | Common Stock | 9,375 | 0 | I |
| Warrant (right to buy)F10,F6 | $8.00 | May 11, 2016 | X | 9 | D | — | Oct 26, 2017 | Common Stock | 9,375 | 0 | I |
| Warrant (right to buy)F7,F6 | $9.00 | May 11, 2016 | X | 10,416 | D | — | Dec 13, 2018 | Common Stock | 10,416 | 0 | I |
| Warrant (right to buy)F8,F6 | $9.00 | May 11, 2016 | X | 10,416 | D | — | Dec 13, 2018 | Common Stock | 10,416 | 0 | I |
| Warrant (right to buy)F9,F6 | $9.00 | May 11, 2016 | X | 10,416 | D | — | Dec 13, 2018 | Common Stock | 10,416 | 0 | I |
| Warrant (right to buy)F10,F6 | $9.00 | May 11, 2016 | X | 10,416 | D | — | Dec 13, 2018 | Common Stock | 10,416 | 0 | I |
Explanation of responses
- F1Reports the purchase of shares in the underwritten public offering of common stock of Spring Bank Pharmaceuticals, Inc.
- F10These warrants were directly held by Pauline Eichler, the Reporting Person's immediate family member.
- F2These shares are directly held by Emerson Eichler, the Reporting Person's immediate family member.
- F3These shares are directly held by Katherine Eichler, the Reporting Person's immediate family member.
- F4These shares are directly held by Lindsay Eichler, the Reporting Person's immediate family member.
- F5These shares are directly held by Pauline Eichler, the Reporting Person's immediate family member.
- F6The warrants were immediately exercisable.
- F7These warrants were directly held by Emerson Eichler, the Reporting Person's immediate family member.
- F8These warrants were directly held by Katherine Eichler, the Reporting Person's immediate family member.
- F9These warrants were directly held by Lindsay Eichler, the Reporting Person's immediate family member.