SEC Form 4 · accession 0001493152-18-010994
VBI Vaccines Inc/BC · VBIV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francisco Diaz-Mitoma
Officer — Chief Medical Officer
Period of report
Aug 2, 2018
Accepted (ET)
Aug 6, 2018 · 2:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000764195
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, no par value per shareF1,F2 | Aug 2, 2018 | P | 3,000 | $2.20 | A | 11,500 | I | See Footnote |
| Common Shares, no par value per shareF3,F2 | Aug 3, 2018 | P | 6,000 | $2.10 | A | 17,500 | I | See Footnote |
| Common Shares, no par value per share | holding | — | — | — | 268,839 | D | ||
| Common Shares, no par value per shareF4 | holding | — | — | — | 19,404 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the weighted average price of shares purchased in multiple transactions at prices ranging from $2.19 to $2.219, inclusive. The reporting person undertakes to provide to VBI Vaccines Inc., any security holder of VBI Vaccines Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.
- F2The common shares are held of record by F. Diaz-Mitoma Medicine Professional Corporation. As the President of such professional corporation, the reporting person has sole voting and dispositive power over the common shares held by the professional corporation.
- F3Represents the weighted average price of shares purchased in multiple transactions at prices ranging from $2.029 to $2.129, inclusive. The reporting person undertakes to provide to VBI Vaccines Inc., any security holder of VBI Vaccines Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.
- F4The common shares are held of record by 1120962 Ontario Inc. As the President of such corporation that owns 100% of its voting securities, the reporting person has the power to vote and dispose of the common shares held by the corporation.