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Filing Details

Accession Number:: 0001209191-16-114037
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-04-12 20:19:29
Reporting Period:: 2015-03-16

Filing Date:: 2016-04-12
Accepted Time:: 2016-04-12 20:19:29
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
921114	Ampliphi Biosciences Corp	APHB	Biological Products, (No Disgnostic Substances) (2836)	911549568

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1216486	Curnock Jeremy Cook	C/O Ampliphi Biosciences Corporation 3579 Valley Centre Drive, Suite 100 San Diego CA 92130		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-03-16	68,455	$8.25	188,455	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2016-04-08	208,150	$0.00	396,605	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2016-04-08	171,298	$0.00	567,903	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant to Purchase Common Stock	Acquisiton	2015-03-16	17,114	$10.75	17,114	$10.75
Common Stock	Series B Convertible Preferred Stock	Acquisiton	2016-04-08	326,468	$0.81	65,293	$0.00
Common Stock	Warrant to Purchase Common Stock	Acquisiton	2016-04-08	34,184	$0.00	34,184	$4.05
Common Stock	Series B Convertible Preferred Stock	Disposition	2016-04-08	1,040,753	$0.00	208,150	$0.00
Common Stock	Warrant to Purchase Common Stock	Disposition	2016-04-08	35,714	$0.00	35,714	$7.00
Common Stock	Warrant to Purchase Common Stock	Acquisiton	2016-04-08	35,714	$0.00	35,714	$4.05

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
17,114	2020-03-16	No	4	P	Indirect
1,040,753		No	4	P	Indirect
34,184	2021-03-31	No	4	P	Indirect
0		No	4	C	Indirect
0	2018-06-26	No	4	D	Indirect
35,714	2021-03-31	No	4	A	Indirect

Footnotes

The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
Each 5 shares of Series B Convertible Preferred Stock converted into one share of the Issuer's common stock for no additional consideration and had no expiration date
The Shares were issued pursuant to a Common Stock Issuance Agreement dated April 8, 2016 (the "Agreement") between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"). As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.
Immediately exercisable.
The warrant is held by Phillip Asset Management. The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by Phillip Asset Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
The Series B Preferred Stock has no expiration date and is convertible at any time at the option of the holder at a conversion ratio of one share of Common Stock for every 5 shares of Series B Preferred Stock.
The holder agreed to the amendment of the warrant issued to it by the Issuer on June 26, 2013 in order to reduce the exercise price of such warrant from $7.00 per share to $4.05 per share and extend the expiration date thereof from June 26, 2018 to March 31, 2021.