SEC Form 4 · accession 0001209191-16-147741
KYNTRA BIO, INC. · KYNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas B Neff
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Oct 31, 2016
Accepted (ET)
Nov 1, 2016 · 7:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000921299
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 31, 2016 | M | 14,091 | $4.025 | A | 3,350,871 | D | |
| Common StockF1,F2 | Oct 31, 2016 | S | 18,899 | $16.67 | D | 3,331,972 | D | |
| Common Stock | Nov 1, 2016 | M | 14,091 | $4.025 | A | 3,346,063 | D | |
| Common StockF1,F3 | Nov 1, 2016 | S | 18,899 | $16.84 | D | 3,327,164 | D | |
| Common Stock | holding | — | — | — | 145,070 | I | By Family Partnership | |
| Common Stock | holding | — | — | — | 20,000 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 60,946 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F5 | $4.025 | Oct 31, 2016 | M | 14,091 | D | — | Feb 28, 2017 | Common Stock | 14,091 | 126,817 | D |
| Stock Option (Right to Buy)F5 | $4.025 | Nov 1, 2016 | M | 14,091 | D | — | Feb 28, 2017 | Common Stock | 14,091 | 112,726 | D |
Explanation of responses
- F1Shares sold pursuant to a 10b5-1 plan.
- F2The shares were sold at prices ranging from $16.40 to $17.05. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3The shares were sold at prices ranging from $16.55 to $17.00. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4The shares are held by BioGrowth Partners, LP. The reporting person is the sole general partner of BioGrowth Partners, LP and has sole voting and dispositive power over the shares held by BioGrowth Partners, LP.
- F5Fully vested.