SEC Form 4 · accession 0001209191-16-114037

Armata Pharmaceuticals, Inc. · ARMP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Jeremy Curnock Cook

Director

Period of report

Mar 16, 2015

Accepted (ET)

Apr 12, 2016 · 8:19 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000921114

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Mar 16, 2015	P	68,455	$8.25	A	188,455	I	See Footnote
Common Stock^F2,F1	Apr 8, 2016	C	208,150	—	A	396,605	I	See Footnote
Common Stock^F3,F1	Apr 8, 2016	P$0	171,298	—	A	567,903	I	See Footnote

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 Common Stock^F5,F4	$10.75	Mar 16, 2015	P	17,114	A	—	Mar 16, 2020	Common Stock	17,114	17,114	I
Series B Convertible Preferred Stock^F1,F6	—	Apr 8, 2016	P	326,468	A	—	—	Common Stock	65,293	1,040,753	I
Warrant to Purchase Common Stock^F5,F4	$4.05	Apr 8, 2016	P	34,184	A	—	Mar 31, 2021	Common Stock	34,184	34,184	I
Series B Convertible Preferred Stock^F1,F2	—	Apr 8, 2016	C	1,040,753	D	—	—	Common Stock	208,150	0	I
Warrant to Purchase Common Stock^F7,F1,F4	$7.00	Apr 8, 2016	D	35,714	D	—	Jun 26, 2018	Common Stock	35,714	0	I
Warrant to Purchase Common Stock^F7,F1,F4	$4.05	Apr 8, 2016	A	35,714	A	—	Mar 31, 2021	Common Stock	35,714	35,714	I

Explanation of responses

F1The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
F2Each 5 shares of Series B Convertible Preferred Stock converted into one share of the Issuer's common stock for no additional consideration and had no expiration date
F3The Shares were issued pursuant to a Common Stock Issuance Agreement dated April 8, 2016 (the "Agreement") between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"). As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.
F4Immediately exercisable.
F5The warrant is held by Phillip Asset Management. The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by Phillip Asset Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
F6The Series B Preferred Stock has no expiration date and is convertible at any time at the option of the holder at a conversion ratio of one share of Common Stock for every 5 shares of Series B Preferred Stock.
F7The holder agreed to the amendment of the warrant issued to it by the Issuer on June 26, 2013 in order to reduce the exercise price of such warrant from $7.00 per share to $4.05 per share and extend the expiration date thereof from June 26, 2018 to March 31, 2021.