Initial Statement of Beneficial Ownership (3)
November 12 2020 - 3:40PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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MONAHAN JOHN J |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/11/2020
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3. Issuer Name and Ticker or Trading Symbol
Synthetic Biologics, Inc. [SYN]
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(Last)
(First)
(Middle)
C/O SYNTHETIC BIOLOGICS, INC., 9605 MEDICAL CENTER DRIVE, #270 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
ROCKVILLE, MD 20850
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options | 12/19/2011 (1) | 12/18/2021 | Common Stock | 2143 | $39.90 | D | |
Stock Options | 12/31/2014 (2) | 12/30/2024 | Common Stock | 72 | $51.10 | D | |
Stock Options | 12/4/2015 (3) | 12/3/2022 | Common Stock | 143 | $96.6048 | D | |
Stock Options | 12/4/2019 (4) | 12/3/2026 | Common Stock | 25000 | $0.418 | D | |
Explanation of Responses: |
(1) | These options were granted on December 19, 2011 and vested 33% immediately and 66% quarterly over 36 consecutive months. These options are fully vested. |
(2) | These options were granted on December 31, 2014 and vested quarterly over 36 consecutive months. These options are fully vested. |
(3) | These options were granted on December 4, 2015 and vested monthly over 36 months. These options are fully vested. |
(4) | These options were granted on December 4, 2019 and vest monthly over 36 months. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MONAHAN JOHN J C/O SYNTHETIC BIOLOGICS, INC. 9605 MEDICAL CENTER DRIVE, #270 ROCKVILLE, MD 20850 | X |
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Signatures
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/s/ John J. Monahan | | 11/12/2020 |
**Signature of Reporting Person | Date |
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