SEC Form 4 · accession 0001140361-16-059675
ROCK CREEK PHARMACEUTICALS, INC. · RCPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Scannell
Director
Period of report
Mar 30, 2016
Accepted (ET)
Mar 31, 2016 · 2:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000776008
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 30, 2016 | P | 285,714 | $0.35 | A | 285,714 | I | By IASO Advisors LLC |
| Common StockF2 | holding | — | — | — | 307,915 | I | By Feehan Partners, LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $1.12 | Mar 30, 2016 | P | 571,428 | A | Mar 30, 2016 | Mar 30, 2023 | Common Stock | 571,428 | 571,428 | I |
| Options to Purchase Common StockF3 | $0.87 | holding | — | — | — | — | Nov 17, 2025 | Common Stock | 2,000 | 2,000 | D |
| Warrant (right to buy)F2 | $3.00 | holding | — | — | — | May 8, 2019 | May 8, 2022 | Common Stock | 69,831 | 69,831 | I |
| Warrant (right to buy)F2 | $3.75 | holding | — | — | — | Jan 28, 2015 | Jan 27, 2022 | Common Stock | 6,003 | 6,003 | I |
| Warrant (right to buy)F2 | $25.00 | holding | — | — | — | Aug 8, 2014 | Aug 8, 2021 | Common Stock | 50,000 | 50,000 | I |
| Warrant (right to buy)F2 | $25.00 | holding | — | — | — | Aug 8, 2014 | Aug 8, 2021 | Common Stock | 7,000 | 7,000 | I |
Explanation of responses
- F1The reporting person is the principal owner of IASO Advisors LLC.
- F2Feehan Partners, LP is a family limited partnership controlled by the reporting person.
- F3Options to purchase common stock, granted pursuant to the issuer's Third Amended and Restated 2008 Incentive Award Plan, are exercisable as follows: 50% on the first anniversary of the date of grant and 100% on the second anniversary of the date of grant.