SEC Form 4/A · accession 0001209191-16-145548
Spring Bank Pharmaceuticals, Inc. · SBPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kurt M Eichler
Director
Period of report
May 11, 2016
Accepted (ET)
Oct 11, 2016 · 4:02 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,F2 | May 11, 2016 | X | 9,375 | $8.00 | A | 9,375 | I | See Footnote |
| Common StockF3,F4,F5,F2 | May 11, 2016 | X | 10,416 | $9.00 | A | 19,791 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The original filing on May 12, 2016 (SEC Accession No. 0000899243-16-019806) (the "Original Form 4") erroneously over-reported the total shares held following the transaction by 10,000 shares, and mistakenly indicated that such shares were directly held by Katherine Eichler and beneficially owned by the Reporting Person. The Original Form 4 is hereby amended to reflect that 9,375 shares were held directly by Teresa Eichler as custodian for Katherine Eichler UGMA NJ, and beneficially owned by the Reporting Person, on May 12, 2016 following the reported transaction.
- F2These shares are directly held by Teresa Eichler as custodian for Katherine Eichler UGMA NJ. Teresa Eichler and Katherine Eichler are immediate family members sharing a household with the Reporting Person.
- F3The Original Form 4 is hereby amended to delete the line items which appeared in Table I and Table II erroneously reporting that the Reporting Person was the indirect beneficial owner of 19,791 warrants, which were exercised for 19,791 shares of common stock of the Company, held directly by Pauline Eichler. The Reporting Person is not a beneficial owner of securities held by Pauline Eichler, with whom he does not share a household, nor was he at the time of the original filing.
- F4The Original Form 4 is hereby amended to delete the line items which appeared in Table I and Table II erroneously reporting that the Reporting Person was the indirect beneficial owner of 19,791 warrants, which were exercised for 19,791 shares of common stock of the Company, held directly by Emerson Eichler. The Reporting Person is not a beneficial owner of securities held by Emerson Eichler, with whom he does not share a household, nor was he at the time of the original filing.
- F5The Original Form 4 is hereby amended to delete the line items which appeared in Table I and Table II erroneously reporting that the Reporting Person was the indirect beneficial owner of 19,791 warrants, which were exercised for 19,791 shares of common stock of the Company, held directly by Lindsay Eichler. The Reporting Person is not a beneficial owner of securities held by Lindsay Eichler, with whom he does not share a household, nor was he at the time of the original filing.