Statement of Changes in Beneficial Ownership (4)
February 19 2020 - 6:13PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
1. Name and Address of Reporting Person
*
VERU DENNISON T |
2. Issuer Name and Ticker or Trading Symbol
Brickell Biotech, Inc.
[
BBI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O BRICKELL BIOTECH, INC., 5777 CENTRAL AVENUE, SUITE 102 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/14/2020 |
(Street)
BOULDER, CO 80301
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | | | | | | | | 7230 | D | |
Common Stock | | | | | | | | 950905 | I | By Self due to Control over the Entity that holds Shares |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrant | $10.36 | | | | | | | 8/30/2019 | 8/30/2029 | Common Stock | 3316 | | 3316 | D | |
Stock Options | $12.17 | | | | | | | 4/22/2015 | 4/22/2025 | Common Stock | 8630 | | 8630 | I | By Self due to Control of Entity that Holds Options |
Stock Options | $12.17 | | | | | | | 12/15/2016 | 12/15/2026 | Common Stock | 3452 | | 3452 | I | By Self due to Control of Entity that Holds Options |
Stock Options | $16.45 | | | | | | | 12/15/2019 | 12/15/2029 | Common Stock | 5178 | | 5178 | I | By Self due to Control of Entity that Holds Options |
Stock Options | $4.76 | | | | | | | 8/30/2020 | 8/30/2029 | Common Stock | 34521 | | 34521 | I | By Self due to Control of Entity that Holds Options |
Restricted Stock Units | $1.16 | 2/14/2020 | | A | | 2167 | | 2/14/2020 | 2/13/2030 | Common Stock | 2167 | $1.16 | 2167 | I | By Self due to Control of Entity that Holds RSUs |
Stock Options | $1.16 | 2/14/2020 | | A | | 9483 | | 2/14/2020 | 2/13/2030 | Common Stock | 9483 | $1.16 | 9483 | I | By Self due to Control of Entity that Holds Options |
Explanation of Responses: |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
VERU DENNISON T C/O BRICKELL BIOTECH, INC. 5777 CENTRAL AVENUE, SUITE 102 BOULDER, CO 80301 | X |
|
|
|
Signatures
|
/s/ Dennison T. Veru | | 2/19/2020 |
**Signature of Reporting Person | Date |
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