SEC Form 4 · accession 0001144204-15-016738
CHAMPIONS ONCOLOGY, INC. · CSBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joel Ackerman
Officer — Chief Executive Officer · Director
Period of report
Mar 11, 2015
Accepted (ET)
Mar 17, 2015 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000771856
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 11, 2015 | P$0 | 2,710,526 | $0.00 | A | 3,572,174 | D | |
| Common StockF1 | Mar 11, 2015 | J | 70,826 | $0.00 | A | 3,643,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to purchase shares of Common StockF2 | $0.48 | Mar 11, 2015 | A | 1,490,789 | A | Mar 11, 2015 | Mar 11, 2020 | Common Stock | 1,490,789 | 1,490,789 | D |
Explanation of responses
- F1As a result of the transaction represented in the line above, the 70,826 shares of Common Stock were issued for no consideration pursuant to contractual anti-dilution undertakings of the Issuer in a Securities Purchase Agreement dated March 24, 2011 between the Issuer, the reporting person and certain other investors.
- F2The warrant was acquired in connection with the purchase of shares of Common Stock pursuant to a Securities Purchase Agreement dated March 13, 2015 between the Issuer, the reporting person and certain other investors for no additional consideration.