Filing Details

Accession Number:
0001209191-18-021678
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-26 20:50:04
Reporting Period:
2016-06-21
Accepted Time:
2018-03-26 20:50:04
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
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
No 4 P Indirect See Footnote
No 4 P Indirect See Footnote
No 4 P Indirect See Footnote
No 4 P Indirect See Footnote
No 4 P Indirect See Footnote
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
46,666 2021-11-22 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 330 Direct
Footnotes
  1. 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.
  2. 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.
  3. Price reported is reflective of adjustments made to the exercise price after the date of issuance pursuant to the terms of the warrant.
  4. Immediately exercisable.
  5. 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.