SEC Form 4 · accession 0000899243-16-034299
Spring Bank Pharmaceuticals, Inc. · SBPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Freve
Officer — CFO, Treasurer & Secretary · Director
Period of report
Nov 23, 2016
Accepted (ET)
Nov 23, 2016 · 4:02 pm EST
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 | Nov 23, 2016 | A | 5,482 | $9.12 | A | 7,482 | D |
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) | $10.79 | Nov 23, 2016 | A | 5,482 | A | May 24, 2017 | Nov 23, 2021 | Common Stock | 5,482 | 5,482 | D |