SEC Form 3 · accession 0001140361-18-005357
Spring Bank Pharmaceuticals, Inc. · SBPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 25, 2017
Accepted (ET)
Feb 6, 2018 · 4:11 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 StockF1 | holding | — | — | — | 833,839 | 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)F1,F2 | $10.79 | holding | — | — | — | May 24, 2017 | Nov 23, 2021 | Common Stock | 603,070 | — | I |
Explanation of responses
- F1MPM Oncology Impact Management GP LLC ("MPM GP") is the general partner of MPM Oncology Impact Management LP ("MPM Management"), which is the general partner of Oncology Impact Fund (Cayman) Management L.P. ("MPM Cayman"), which is the general partner of UBS Oncology Impact Fund L.P. ("UBS Oncology"). The reported securities are owned indirectly by MPM GP, MPM Management and MPM Cayman, and are owned directly by UBS Oncology. Ansbert Gadicke is the sole member of MPM GP. However, all voting and investment decisions are made by an investment committee comprised of three or more members, including Ansbert Gadicke. Each member of the investment committee expressly disclaims beneficial ownership of the reported securities.
- F2The warrant was issued on November 23, 2016 but did not become exercisable until May 24, 2017.