SEC Form 4 · accession 0001209191-17-067619
Cue Biopharma, Inc. · CUE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher A Marlett
Director
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 12:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001645460
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2 | $9.375 | Dec 27, 2017 | A | 833,312 | A | Jun 12, 2018 | Jun 12, 2023 | Common Stock | 833,312 | 833,312 | I |
Explanation of responses
- F1The Warrants were issued to MDB Capital Group LLC ("MDB") as partial compensation for its services as underwriter in the Company's initial public offering of common stock pursuant to that certain Underwriting Agreement, dated December 14, 2017, between the Company and MDB as representative of the underwriters.
- F2The record owner of these securities is MDB. The reporting person is the Chief Executive Officer of MDB. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein and inclusion of these securities in the report shall not be an admission of beneficial ownership for purposes of section 16 or any other purposes.