SEC Form 5 · accession 0000950157-18-000023
Bellerophon Therapeutics, Inc. · BLPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linde North America, Inc.
10% Owner
Period of report
Dec 31, 2017
Accepted (ET)
Jan 2, 2018 · 1:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001600132
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 29, 2016 | P$0 | 1,920,000 | — | A | 5,271,796 | D | |
| Common StockF2 | Sep 29, 2017 | P$0 | 1,721,992 | — | A | 5,271,796 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (right to buy)F1,F3 | $0.80 | Nov 29, 2016 | P | 1,920,000 | A | — | Nov 29, 2021 | Common Stock | 1,920,000 | 1,920,000 | D |
| Common Stock Warrants (right to buy)F2,F4 | $1.242 | Sep 29, 2017 | P | 1,721,992 | A | — | Sep 29, 2022 | Common Stock | 1,721,992 | 1,721,992 | D |
Explanation of responses
- F1The reported securities are included within Units purchased by the reporting person for $0.70 per Unit. Each Unit consists of one share of common stock and one warrant to purchase one share of common stock.
- F2The reported securities are included within Units purchased by the reporting person for $1.205 per Unit. Each Unit consists of one share of common stock and one warrant to purchase one share of common stock.
- F3The warrants to purchase shares of common stock are currently not exercisable by Linde North America, Inc. due to the exercise limitations of the warrants.
- F4The warrants to purchase shares of common stock are currently not exercisable by Linde North America, Inc. due to the exercise limitations of the warrants.