SEC Form 4 · accession 0001535264-17-000067
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
Aug 28, 2017
Accepted (ET)
Aug 30, 2017 · 4:41 pm EDT
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 StockF1 | Aug 28, 2017 | S | 100 | $7.42 | D | 314,219 | I | By Limited Partnerships |
| Common StockF1 | Aug 29, 2017 | S | 1,600 | $7.4287 | D | 312,619 | I | By Limited Partnerships |
| Common StockF2,F1 | Aug 30, 2017 | S | 600 | $7.41 | D | 312,019 | I | By Limited Partnerships |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is weighted average price.
- F2AWM 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 206,588 shares of Common Stock of the Issuer (the Shares) held by QP, 61,060 Shares held by CAYMAN & 44,371 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.