SEC Form 4 · accession 0001209191-19-005540
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 29, 2017
Accepted (ET)
Jan 28, 2019 · 4:36 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2,F3 | $9.375 | Dec 29, 2017 | J | 416,656 | D | Jun 12, 2018 | Dec 14, 2022 | Common Stock | 416,656 | 416,656 | I |
Explanation of responses
- F1Upon closing of the initial public offering of the Issuer, the Warrants were issued to MDB Capital Group LLC ("MDB") as partial consideration for services as underwriter. MDB assigned a portion of the Warrants to certain of its employees effective December 29, 2017.
- F2The Warrants were issued to MDB as partial compensation for its services as underwriter in the Issuer's initial public offering.
- F3The 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.