SEC Form 4 · accession 0001209191-17-033459
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
May 15, 2017
Accepted (ET)
May 17, 2017 · 8:52 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 | May 15, 2017 | M | 18,900 | $2.35 | A | 3,345,941 | D | |
| Common StockF1,F2 | May 15, 2017 | S | 18,900 | $27.75 | D | 3,327,041 | D | |
| Common StockF1,F3 | May 15, 2017 | S | 418 | $27.81 | D | 139,636 | I | By Family Partnership |
| Common Stock | May 16, 2017 | M | 18,900 | $2.35 | A | 3,345,941 | D | |
| Common StockF1,F4 | May 16, 2017 | S | 18,900 | $27.64 | D | 3,327,041 | D | |
| Common StockF1,F5 | May 16, 2017 | S | 418 | $27.67 | D | 139,218 | I | By Family Partnership |
| Common Stock | holding | — | — | — | 20,000 | I | By Spouse | |
| Common StockF6 | 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)F7 | $2.35 | May 15, 2017 | M | 18,900 | D | — | Mar 12, 2018 | Common Stock | 18,900 | 274,913 | D |
| Stock Option (Right to Buy)F7 | $2.35 | May 16, 2017 | M | 18,900 | D | — | Mar 12, 2018 | Common Stock | 18,900 | 256,013 | D |
Explanation of responses
- F1Shares sold pursuant to a 10b5-1 plan.
- F2The shares were sold at prices ranging from $27.45 to $27.90. 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 $27.70 to $27.875. 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 $27.35 to $27.875. 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 $27.40 to $27.90. 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 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.
- F7Fully vested.