SEC Form 3 · accession 0001493152-17-012234

VBI Vaccines Inc/BC · VBIV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Oct 30, 2017

Accepted (ET)

Oct 31, 2017 · 8:05 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000764195

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Shares, no par value per share^F1	holding	—	—	—	1,131,972	I	By Pontifax (Israel) IV Limited Partnership
Common Shares, no par value per share^F1	holding	—	—	—	551,089	I	By Pontifax (Cayman) IV Limited Partnership
Common Shares, no par value per share^F1	holding	—	—	—	612,022	I	By Pontifax (China) IV Limited Partnership

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant (right to buy)^F1	$3.34	holding	—	—	—	Oct 30, 2017	Oct 30, 2021	Common Shares	271,269	—	I
Warrant (right to buy)^F1	$3.34	holding	—	—	—	Oct 30, 2017	Oct 30, 2021	Common Shares	132,064	—	I
Warrant (right to buy)^F1	$3.34	holding	—	—	—	Oct 30, 2017	Oct 30, 2021	Common Shares	146,667	—	I

F1Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities.