Filing Details

Accession Number:
0001615774-18-001760
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-09 16:01:41
Reporting Period:
2018-03-07
Accepted Time:
2018-03-09 16:01:41
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
1618789 Vivo Capital Viii, Llc 505 Hamilton Avenue, Suite 207
Palo Alto CA 94301
No No Yes 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 Disposition 2018-03-07 2,000,000 $0.36 16,128,515 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
Footnotes
  1. These shares are owned directly by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these shares. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such shares. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
  2. The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.33 to $0.37, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.