SEC Form 4 · accession 0001209191-18-022902
Spring Bank Pharmaceuticals, Inc. · SBPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christiana Bardon
Director · 10% Owner
Period of report
Apr 2, 2018
Accepted (ET)
Apr 3, 2018 · 4:13 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 | Apr 2, 2018 | A | 641 | $0.00 | A | 641 | D | |
| Common StockF2 | holding | — | — | — | 833,839 | I | By UBS Oncology Impact Fund | |
| Common StockF3 | holding | — | — | — | 54,824 | I | By Burrage Capital Healthcare Fund I, LP |
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.
- F2The Reporting Person's spouse is the Managing Member of MPM Oncology Impact Management GP LLC, an indirect General Partner of UBS Oncology Impact Fund L.P. ("Oncology Impact Fund"). Dr. Bardon disclaims beneficial ownership of the securities held by Oncology Impact Fund, except to the extent of her or her spouse's pecuniary interest therein, and the inclusion of these securities in the report shall not be deemed an admission of beneficial ownership of the securities for the purposes of Section 16 or for any other purpose.
- F3The Reporting Person is the Portfolio Manager of Burrage Capital Healthcare Fund I, L.P. ("Burrage Capital"). Dr. Bardon disclaims beneficial ownership of the securities held by Burrage Capital, except to the extent of her pecuniary interest therein, and the inclusion of these securities in the report shall not be deemed an admission of beneficial ownership of the securities for the purposes of Section 16 or for any other purpose.