SEC Form 4 · accession 0001209191-17-026994
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
Period of report
Apr 12, 2017
Accepted (ET)
Apr 14, 2017 · 6:06 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 | Apr 12, 2017 | M | 18,900 | $4.025 | A | 3,345,941 | D | |
| Common StockF1,F2 | Apr 12, 2017 | S | 16,600 | $24.58 | D | 3,329,341 | D | |
| Common StockF1,F3 | Apr 12, 2017 | S | 2,300 | $25.28 | D | 3,327,041 | D | |
| Common StockF1,F4 | Apr 12, 2017 | S | 418 | $24.57 | D | 141,308 | I | By Family Partnership |
| Common Stock | Apr 13, 2017 | M | 18,900 | $4.025 | A | 3,345,941 | D | |
| Common StockF1,F5 | Apr 13, 2017 | S | 18,900 | $24.91 | D | 3,327,041 | D | |
| Common StockF1,F6 | Apr 13, 2017 | S | 418 | $24.95 | D | 140,890 | I | By Family Partnership |
| Common Stock | holding | — | — | — | 20,000 | I | By Spouse | |
| Common StockF7 | 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 Options (Right to Buy)F8 | $4.025 | Apr 12, 2017 | M | 18,900 | D | — | Aug 20, 2017 | Common Stock | 18,900 | 46,594 | D |
| Stock Option (Right to Buy)F8 | $4.025 | Apr 13, 2017 | M | 18,900 | D | — | Aug 20, 2017 | Common Stock | 18,900 | 27,694 | D |
Explanation of responses
- F1Shares sold pursuant to a 10b5-1 plan.
- F2The shares were sold at prices ranging from $24.25 to $24.975. 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 $25.00 to $25.55. 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 were sold at prices ranging from $24.50 to $24.65. 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.
- F5The shares were sold at prices ranging from $24.50 to $25.35. 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.
- F6The shares were sold at prices ranging from $24.65 to $25.30. 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.
- F7The 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.
- F8Fully vested.