- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2018-03-26 20:50:04
- Reporting Period:
- Accepted Time:
- 2018-03-26 20:50:04
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|921114||Ampliphi Biosciences Corp||APHB||Biological Products, (No Disgnostic Substances) (2836)||911549568|
|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
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||2016-06-21||15,057||$0.00||71,847||No||4||P||Indirect||See Footnote|
|Common Stock||Acquisiton||2016-11-22||46,666||$7.40||118,513||No||4||P||Indirect||See Footnote|
|Common Stock||Acquisiton||2017-06-29||5,757||$0.00||124,270||No||4||P||Indirect||See Footnote|
|Common Stock||Acquisiton||2017-09-19||105,015||$0.00||229,285||No||4||P||Indirect||See Footnote|
|Common Stock||Acquisiton||2018-03-22||181,820||$1.10||411,105||No||4||P||Indirect||See Footnote|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
Reported Derivative Transactions
|Sec. Name||Sec. Type||Acquisiton - Disposition||Date||Amount||Price||Amount - 2||Price - 2|
|Common Stock||Warrant to Purchase Common Stock||Acquisiton||2016-11-22||46,666||$0.10||46,666||$0.57|
|Remaning Holdings||Exercise Date||Expiration Date||Equity Swap Involved||Transaction Form Type||Transaction Code||Nature of Ownership|
Reported Non-Derivative Holdings
|Sec. Name||Remaning Holdings||Nature of Ownership||Explanation|
- The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. 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.
- 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.
- Price reported is reflective of adjustments made to the exercise price after the date of issuance pursuant to the terms of the warrant.
- Immediately exercisable.
- The warrant is held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the securities beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.