SEC Form 4 · accession 0001209191-17-043261
Spring Bank Pharmaceuticals, Inc. · SBPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt M Eichler
Director
Period of report
Jul 3, 2017
Accepted (ET)
Jul 5, 2017 · 4:10 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 | Jul 3, 2017 | A | 936 | $0.00 | A | 583,469 | D | |
| Common StockF2 | holding | — | — | — | 19,791 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 10,000 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 1,200 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to the Issuer's Non-Employee Director Compensation Policy, the shares on this Form 4 were automatically issued to the Reporting Person, who previously elected to take shares in lieu of cash compensation for services as a director and committee member of the Issuer.
- F2These shares are directly held by Theresa Eichler as custodian for Katherine Eichler UGMA NJ. Teresa Eichler and Katherine Eichler are immediate family members sharing a household with the Reporting Person.
- F3These shares are directly held by the Kurt M. Eichler Trust Under Agreement dated 12/27/14 FBO Katherine Eichler (the "Katherine Eichler Trust"). The Reporting Person's immediate family member, Katherine Eichler, is a beneficiary of the Katherine Eichler Trust, and the Reporting Person is a trustee of the Katherine Eichler Trust.
- F4These shares are directly held by the Reporting Person as custodian for Katherine Eichler. Katherine Eichler is an immediate family member sharing a household with the Reporting Person.