SEC Form 4 · accession 0000905718-17-000831
Matinas BioPharma Holdings, Inc. · MTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam K Stern
Director
Period of report
Sep 7, 2017
Accepted (ET)
Sep 11, 2017 · 9:03 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001582554
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per shareF2,F1 | Sep 7, 2017 | P | 50,000 | $1.38 | A | 3,639,483 | I | Held by AKS Family Partners LP |
| Common Stock, par value $0.0001 per shareF3,F1 | Sep 8, 2017 | P | 50,000 | $1.38 | A | 3,689,483 | I | Held by AKS Family Partners LP |
| Common Stock, par value $0.0001 per share | holding | — | — | — | 793,992 | D | ||
| Common Stock, par value $0.0001 per shareF1 | holding | — | — | — | 300,000 | I | Held by Pavilion Capital Partners Inc. | |
| Common Stock, par value $0.0001 per shareF1 | holding | — | — | — | 300,000 | I | Held by Piper Ventures Partners LLC | |
| Common Stock, par value $0.0001 per shareF1 | holding | — | — | — | 1,000,000 | I | Held by AKS Family Foundation | |
| Common Stock, par value $0.0001 per share | holding | — | — | — | 600,000 | I | Held by SternAegis Ventures LLC Defined Benefit Pension Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Stern disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership by Mr. Stern of the reported securities for purposes of Section 16 or any other purpose.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.35 to $1.40, inclusive. The reporting person undertakes to provide Matinas BioPharma Holdings, Inc., any security holder of Matinas BioPharma Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (2) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.35 to $1.39, inclusive. The reporting person undertakes to provide Matinas BioPharma Holdings, Inc., any security holder of Matinas BioPharma Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (3) to this Form 4.