Amended Statement of Changes in Beneficial Ownership (4/a)
October 11 2016 - 4:03PM
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...
0.5
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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
*
Eichler Kurt M
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2. Issuer Name
and
Ticker or Trading Symbol
Spring Bank Pharmaceuticals, Inc.
[
SBPH
]
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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 SPRING BANK PHARMACEUTICALS, INC., 86 SOUTH STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/11/2016
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(Street)
HOPKINTON, MA 01748
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
5/12/2016
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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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Common Stock
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5/11/2016
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X
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9375
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A
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$8.00
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9375
(1)
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I
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See Footnote
(2)
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Common Stock
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5/11/2016
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X
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10416
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A
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$9.00
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19791
(3)
(4)
(5)
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I
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See Footnote
(2)
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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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Explanation of Responses:
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(
1)
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The original filing on May 12, 2016 (SEC Accession No. 0000899243-16-019806) (the "Original Form 4") erroneously over-reported the total shares held following the transaction by 10,000 shares, and mistakenly indicated that such shares were directly held by Katherine Eichler and beneficially owned by the Reporting Person. The Original Form 4 is hereby amended to reflect that 9,375 shares were held directly by Teresa Eichler as custodian for Katherine Eichler UGMA NJ, and beneficially owned by the Reporting Person, on May 12, 2016 following the reported transaction.
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(
2)
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These shares are directly held by Teresa Eichler as custodian for Katherine Eichler UGMA NJ. Teresa Eichler and Katherine Eichler are immediate family members sharing a household with the Reporting Person.
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(
3)
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The Original Form 4 is hereby amended to delete the line items which appeared in Table I and Table II erroneously reporting that the Reporting Person was the indirect beneficial owner of 19,791 warrants, which were exercised for 19,791 shares of common stock of the Company, held directly by Pauline Eichler. The Reporting Person is not a beneficial owner of securities held by Pauline Eichler, with whom he does not share a household, nor was he at the time of the original filing.
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(
4)
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The Original Form 4 is hereby amended to delete the line items which appeared in Table I and Table II erroneously reporting that the Reporting Person was the indirect beneficial owner of 19,791 warrants, which were exercised for 19,791 shares of common stock of the Company, held directly by Emerson Eichler. The Reporting Person is not a beneficial owner of securities held by Emerson Eichler, with whom he does not share a household, nor was he at the time of the original filing.
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(
5)
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The Original Form 4 is hereby amended to delete the line items which appeared in Table I and Table II erroneously reporting that the Reporting Person was the indirect beneficial owner of 19,791 warrants, which were exercised for 19,791 shares of common stock of the Company, held directly by Lindsay Eichler. The Reporting Person is not a beneficial owner of securities held by Lindsay Eichler, with whom he does not share a household, nor was he at the time of the original filing.
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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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Eichler Kurt M
C/O SPRING BANK PHARMACEUTICALS, INC.
86 SOUTH STREET
HOPKINTON, MA 01748
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X
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Signatures
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/s/Lori Firmani, attorney-in-fact
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10/11/2016
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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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