SEC Form 4 · accession 0001209191-18-021679
Armata Pharmaceuticals, Inc. · ARMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Perry
Director
Period of report
Jun 29, 2017
Accepted (ET)
Mar 26, 2018 · 8:51 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 StockF1,F2,F3 | Jun 29, 2017 | P$0 | 5,757 | — | A | 124,270 | I | See Footnote |
| Common StockF1,F3 | Sep 19, 2017 | P$0 | 105,015 | — | A | 229,285 | I | See Footnote |
| Common StockF3 | Mar 22, 2018 | P | 181,820 | $1.10 | A | 411,105 | I | See Footnote |
| Common Stock | holding | — | — | — | 230 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- 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 reporting person acquired beneficial ownership of these shares upon his appointment as a Managing Director of Bioscience Managers Pty Ltd. in April 2017. Bioscience Managers Pty Ltd. is an affiliate of One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management").
- F3The shares are held by 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.