SEC Form 4 · accession 0001628280-16-019570
CHAMPIONS ONCOLOGY, INC. · CSBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Ronnie Morris
Officer — President · Director
Period of report
Jul 21, 2016
Accepted (ET)
Sep 14, 2016 · 3:28 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 Stock | Jul 21, 2016 | M | 94,564 | $4.55 | A | 3,737,564 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Common StockF2,F1 | $2.10 | Jul 21, 2016 | A | 150,795 | A | — | Oct 25, 2020 | Common Stock | 150,795 | 150,795 | D |
| Option to purchase Common StockF2,F1 | $2.10 | Jul 21, 2016 | A | 150,795 | A | — | Oct 25, 2020 | Common Stock | 150,795 | 150,795 | D |
| Option to purchase Common StockF2,F3 | $2.10 | Jul 21, 2016 | A | 101,521 | A | — | Nov 5, 2023 | Common Stock | 101,521 | 101,521 | D |
| Option to purchase Common StockF2,F4 | $2.10 | Jul 21, 2016 | A | 101,521 | A | — | Nov 5, 2023 | Common Stock | 101,521 | 101,521 | D |
| Option to purchase Common StockF2,F1 | $2.10 | Jul 21, 2016 | A | 14,552 | A | — | Nov 5, 2023 | Common Stock | 14,552 | 14,552 | D |
| Option to purchase Common StockF2,F1 | $2.10 | Jul 21, 2016 | A | 83,026 | A | — | Nov 1, 2025 | Common Stock | 83,026 | 83,026 | D |
| Option to purchase Common StockF2,F5 | $2.10 | Jul 21, 2016 | A | 88,595 | A | — | Nov 1, 2025 | Common Stock | 88,595 | 88,595 | D |
| Option to purchase Common StockF2,F6 | $4.92 | Jul 21, 2016 | D | 182,580 | D | — | Oct 25, 2020 | Common Stock | 182,580 | 0 | D |
| Option to purchase Common StockF2,F4 | $4.92 | Jul 21, 2016 | D | 182,580 | D | — | Oct 20, 2025 | Common Stock | 182,580 | 0 | D |
| Option to purchase Common StockF2,F7 | $4.92 | Jul 21, 2016 | D | 112,331 | D | — | Nov 5, 2023 | Common Stock | 112,331 | 0 | D |
| Option to purchase Common StockF2,F4 | $4.92 | Jul 21, 2016 | D | 112,331 | D | — | Nov 5, 2023 | Common Stock | 112,331 | 0 | D |
| Option to purchase Common StockF2,F6 | $4.92 | Jul 21, 2016 | D | 16,101 | D | — | Nov 5, 2023 | Common Stock | 16,101 | 0 | D |
| Option to purchase Common StockF2,F6 | $4.92 | Jul 21, 2016 | D | 90,358 | D | — | Nov 1, 2024 | Common Stock | 90,358 | 0 | D |
| Option to purchase Common StockF2,F8 | $4.55 | Jul 21, 2016 | D | 94,564 | D | — | Nov 1, 2025 | Common Stock | 94,564 | 0 | D |
Explanation of responses
- F1Fully vested upon grant.
- F2The reporting person agreed to the cancellation of options granted to him on March 16, 2015 and November 19, 2015 in exchange for new options having a lower exercise price.
- F3Vested as to 74,529 shares on grant; remainder to vest on November 5, 2016.
- F4Vesting to occur upon completion of performance criteria that have not been set.
- F5Vested as to 66,446 shares on grant; remainder to vest on October 31, 2016.
- F6Fully Vested.
- F7Vested as to 84,249 shares on grant; remainder to vest on November 5, 2016.
- F8Vested as to 70,923 shares on grant; remainder to vest on October 31, 2016.