Filing Details
- Accession Number:
- 0001424422-17-000011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-27 17:06:14
- Reporting Period:
- 2017-11-24
- Accepted Time:
- 2017-11-27 17:06:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1504167 | Biopharmx Corp | BPMX | Pharmaceutical Preparations (2834) | 593843182 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1637670 | Stephen Morlock | 1505 Adams Drive Menlo Park CA 94025 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-11-24 | 330,000 | $0.15 | 873,956 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to purchase common stock | Acquisiton | 2017-11-24 | 330,000 | $0.00 | 330,000 | $0.20 |
| Common Stock | Warrant to purchase common stock | Acquisiton | 2017-11-24 | 330,000 | $0.00 | 330,000 | $0.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 330,000 | No | 4 | P | Direct | ||
| 330,000 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 251,071 | Indirect | By Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03 |
Footnotes
- Securities are purchased as a unit, priced at $0.15 per unit, which consists of one share of common stock, one Series A warrant to purchase one share of common stock and one Series B warrant to purchase one share of common stock.
- Mr. Morlock is a co-trustee and co-beneficiary of the Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03
- This Series A warrant is immediately exercisable and expires on 11/24/2022.
- This Series B warrant is immediately exercisable and expires on the earlier of (1) the 21st trading day after the Company issues a press release announcing it has entered into a strategic licensing, collaboration, partnership or similar agreement for the commitment to fund its phase 3 trials for BPX01 and (2) the 18 month anniversary of issuance.
Billionaire Hedge Funds
