SEC Form 4 · accession 0001628280-16-021746
Bellerophon Therapeutics, Inc. · BLPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fabian Tenenbaum
Officer — Chief Executive Officer
Period of report
Nov 29, 2016
Accepted (ET)
Dec 1, 2016 · 10:40 am 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 | 142,857 | — | A | 142,857 | 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 | $0.80 | Nov 29, 2016 | P | 142,857 | A | Nov 29, 2016 | Nov 29, 2021 | Common Stock | 142,857 | 142,857 | D |
Explanation of responses
- F1The reported securities are included within 142,857 Class A Units purchased by the reporting person for $0.70 per Class A Unit. Each Class A Unit consists of one share of common stock and one warrant to purchase one share of common stock.