SEC Form 4 · accession 0001209191-18-021678

Armata Pharmaceuticals, Inc. · ARMP

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

Reporting owner

Director

Period of report

Jun 21, 2016

Accepted (ET)

Mar 26, 2018 · 8:50 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,F2	Jun 21, 2016	P$0	15,057	—	A	71,847	I	See Footnote
Common Stock^F2	Nov 22, 2016	P	46,666	$7.40	A	118,513	I	See Footnote
Common Stock^F1,F2	Jun 29, 2017	P$0	5,757	—	A	124,270	I	See Footnote
Common Stock^F1,F2	Sep 19, 2017	P$0	105,015	—	A	229,285	I	See Footnote
Common Stock^F2	Mar 22, 2018	P	181,820	$1.10	A	411,105	I	See Footnote
Common Stock	holding	—	—		—	330	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant to Purchase Common Stock^F5,F3,F4	$0.5749	Nov 22, 2016	P	46,666	A	—	Nov 22, 2021	Common Stock	46,666	46,666	I

F1The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. 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.
F2The 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.
F3Price reported is reflective of adjustments made to the exercise price after the date of issuance pursuant to the terms of the warrant.
F4Immediately exercisable.
F5The warrant is held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the securities beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.