SEC Form 4 · accession 0001144204-16-135295
Synthetic Biologics, Inc. · SYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Tarriff
Director
Period of report
Nov 18, 2016
Accepted (ET)
Nov 18, 2016 · 11:12 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000894158
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 18, 2016 | A | 300,000 | — | A | 300,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A WarrantF1 | $1.43 | Nov 18, 2016 | A | 300,000 | A | Nov 18, 2016 | Nov 18, 2020 | Common Stock | 300,000 | 300,000 | D |
| Series B WarrantF1 | $1.72 | Nov 18, 2016 | A | 300,000 | A | Nov 18, 2016 | Dec 31, 2017 | Common Stock | 300,000 | 300,000 | D |
Explanation of responses
- F1The shares of common stock were sold together with the Series A Warrant and the Series B Warrant. The purchase price for each share of common stock and accompanying warrant was $1.00.