SEC Form 5 · accession 0001209191-18-009969
MANNKIND CORP · MNKD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 4:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000899460
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 27, 2017 | G | 14,500 | $0.00 | D | 3,654,553 | D | |
| Common StockF1 | Feb 27, 2017 | G | 811,000 | $0.00 | D | 2,843,553 | D | |
| Common Stock | Mar 15, 2017 | G | 69,418 | $0.00 | D | 2,774,135 | D | |
| Common Stock | Mar 16, 2017 | G | 5,000 | $0.00 | D | 2,769,135 | D | |
| Common Stock | Mar 31, 2017 | G | 80,028 | $0.00 | D | 2,689,107 | D | |
| Common Stock | Apr 3, 2017 | G | 300,000 | $0.00 | D | 2,389,107 | D | |
| Common Stock | Apr 4, 2017 | G | 195,158 | $0.00 | D | 2,193,949 | D | |
| Common Stock | Apr 5, 2017 | G | 188,784 | $0.00 | D | 2,005,165 | D | |
| Common Stock | Apr 6, 2017 | G | 233,922 | $0.00 | D | 1,771,243 | D | |
| Common Stock | Apr 7, 2017 | G | 600,000 | $0.00 | D | 1,171,243 | D | |
| Common Stock | Apr 10, 2017 | G | 250,548 | $0.00 | D | 920,695 | D | |
| Common Stock | Apr 11, 2017 | G | 300,000 | $0.00 | D | 620,695 | D | |
| Common Stock | Apr 12, 2017 | G | 160,525 | $0.00 | D | 460,170 | D | |
| Common Stock | Apr 13, 2017 | G | 133,332 | $0.00 | D | 326,838 | D | |
| Common Stock | Apr 17, 2017 | G | 142,280 | $0.00 | D | 184,558 | D | |
| Common StockF2 | Apr 17, 2017 | G | 60,011 | $0.00 | D | 17,870,439 | I | See footnote |
| Common StockF2 | Apr 18, 2017 | G | 102,537 | $0.00 | D | 17,767,902 | I | See footnote |
| Common StockF2 | Apr 19, 2017 | G | 300,000 | $0.00 | D | 17,467,902 | I | See footnote |
| Common StockF2 | Apr 20, 2017 | G | 280,300 | $0.00 | D | 17,187,602 | I | See footnote |
| Common StockF2 | Apr 21, 2017 | G | 473,727 | $0.00 | D | 16,713,875 | I | See footnote |
| Common StockF2 | Apr 26, 2017 | G | 1,000,000 | $0.00 | D | 15,713,875 | I | See footnote |
| Common StockF2 | May 9, 2017 | G | 1,000,000 | $0.00 | D | 14,713,875 | I | See footnote |
| Common StockF2 | May 15, 2017 | G | 1,000,000 | $0.00 | D | 13,713,875 | I | See footnote |
| Common StockF2 | May 16, 2017 | G | 1,000,000 | $0.00 | D | 12,713,875 | I | See footnote |
| Common StockF2 | May 19, 2017 | G | 1,000,000 | $0.00 | D | 11,713,875 | I | See footnote |
| Common StockF2 | May 24, 2017 | G | 1,000,000 | $0.00 | D | 10,713,875 | I | See footnote |
| Common StockF2 | May 30, 2017 | G | 1,000,000 | $0.00 | D | 9,713,875 | I | See footnote |
| Common StockF2 | Jun 2, 2017 | G | 1,000,000 | $0.00 | D | 8,713,875 | I | See footnote |
| Common StockF2 | Jun 13, 2017 | G | 50,000 | $0.00 | D | 8,663,875 | I | See footnote |
| Common StockF2 | Jun 14, 2017 | G | 41,933 | $0.00 | D | 8,621,942 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Share amounts have been adjusted to reflect the 1-for-5 reverse stock split effected by the Issuer on March 2, 2017.
- F2Held of record by Mann Group, LLC. The Alfred E. Mann Living Trust is the sole manager and member of Mann Group, LLC.
Remarks
Shares disposed of by the reporting persons during the one year period following the death of Alfred E. Mann were exempt from reporting in compliance with Rule 16(a)(2)(d) of the Securities Exchange Act of 1934, as amended.