Statement of Changes in Beneficial Ownership (4)
May 13 2019 - 11:30AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
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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
*
GENERAL HILL (Ret) JAMES T.
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2. Issuer Name
and
Ticker or Trading Symbol
iBio, Inc.
[
IBIO
]
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5. 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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(Last)
(First)
(Middle)
C/O IBIO, INC., 600 MADISON AVENUE, SUITE 1601
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/20/2019
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$6.60
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2/20/2019
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D
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6000
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(1)
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8/10/2019
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Common Stock
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6000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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4500
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(4)
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2/20/2024
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Common Stock
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4500
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(5)
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36750
(3)
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D
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Stock Option (right to buy)
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$17.30
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2/20/2019
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D
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3000
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(1)
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8/16/2020
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Common Stock
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3000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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2250
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(4)
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2/20/2024
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Common Stock
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2250
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(5)
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36750
(3)
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D
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Stock Option (right to buy)
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$19.60
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2/20/2019
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D
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6000
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(1)
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10/21/2021
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Common Stock
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6000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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4500
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(4)
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2/20/2024
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Common Stock
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4500
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(5)
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36750
(3)
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D
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Stock Option (right to buy)
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$11.00
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2/20/2019
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D
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6000
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(1)
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7/24/2022
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Common Stock
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6000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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4500
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(4)
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2/20/2024
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Common Stock
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4500
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(5)
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36750
(3)
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D
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Stock Option (right to buy)
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$5.00
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2/20/2019
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D
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6000
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(1)
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7/16/2023
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Common Stock
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6000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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4500
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(4)
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2/20/2024
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Common Stock
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4500
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(5)
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36750
(3)
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D
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Stock Option (right to buy)
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$4.90
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2/20/2019
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D
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6000
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(1)
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9/5/2024
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Common Stock
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6000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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4500
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(4)
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2/20/2024
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Common Stock
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4500
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(5)
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36750
(3)
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D
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Stock Option (right to buy)
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$17.20
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2/20/2019
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D
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10000
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(1)
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9/4/2025
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Common Stock
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10000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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7500
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(4)
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2/20/2024
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Common Stock
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7500
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(5)
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36750
(3)
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D
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Stock Option (right to buy)
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$4.00
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2/20/2019
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D
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6000
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(1)
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5/1/2027
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Common Stock
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6000
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(2)
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36750
(3)
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D
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Stock Option (right to buy)
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$0.93
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2/20/2019
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A
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4500
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(4)
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2/20/2024
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Common Stock
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4500
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(5)
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36750
(3)
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D
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Explanation of Responses:
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(1)
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Vested in three equal annual instalments on the anniversary of the date of grant.
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(2)
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On 2/20/19, the issuer canceled, pursuant to the issuer's option exchange program, old stock options in exchange for new stock options, on the basis of three new options in exchange for four old options, for all eligible option holders who elected to participate in the option exchange, including the cancelation of this option grant to the reporting person in exchange for new options.
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(3)
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Reflects number of securities beneficially owned following all transactions reported on this Form 4.
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(4)
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Fully vests on first anniversary of grant date.
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(5)
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On 2/20/19, the issuer issued new stock options, pursuant to the issuer's option exchange program, in exchange for old stock options, on the basis of three new options in exchange for four old options, for all eligible option holders who elected to participate in the option exchange, including this option grant to the reporting person.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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GENERAL HILL (Ret) JAMES T.
C/O IBIO, INC.
600 MADISON AVENUE, SUITE 1601
NEW YORK, NY 10022
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X
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Signatures
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/s/ General James T. Hill
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5/13/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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