SEC Form 4 · accession 0001535264-16-000176
Ernexa Therapeutics Inc. · ERNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
AWM Investment Company, Inc.
10% Owner
Period of report
Dec 21, 2016
Accepted (ET)
Dec 28, 2016 · 12:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000748592
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Dec 21, 2016 | S | 200 | $9.5001 | D | 332,053 | I | By Limited Partnerships |
| Common StockF2 | Dec 22, 2016 | S | 2,550 | $9.1862 | D | 329,503 | I | By Limited Partnerships |
| Common StockF2 | Dec 23, 2016 | S | 2,602 | $8.4911 | D | 326,901 | I | By Limited Partnerships |
| Common StockF1,F2 | Dec 27, 2016 | S | 400 | $8.5475 | D | 326,501 | I | By Limited Partnerships |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN) and Special Situations Private Equity Fund, L.P. (PE) & together with QP & CAYMAN, the Funds). As the investment adviser to the Funds, AWM holds sole voting & investment power over 217,472 shares of Common Stock of the Issuer (the Shares) held by QP, 64,594 Shares held by CAYMAN & 44,435 Shares held by PE. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) & Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F2This is a weighted average price.