Filing Details

Accession Number:
0001104659-20-138584
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2020-12-22 16:21:29
Reporting Period:
2020-08-31
Accepted Time:
2020-12-22 16:21:29
Original Submission Date:
2020-12-15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1680048 Mustang Bio Inc. MBIO () 4/A
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
941841 Md A Lindsay Rosenwald 377 Plantation Street
Worcester MA 01605
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 2020-08-31 1,182 $2.48 102,436 No 4 A Direct
Common Stock Acquisiton 2020-12-14 100,000 $2.66 202,436 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 P Direct
Footnotes
  1. These shares were acquired under the Mustang Bio, Inc. Employee Share Purchase Plan ("ESPP") for the ESPP purchase period beginning on March 1, 2020 and ending on August 31, 2020 in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). In accordance with the terms of the ESPP, these shares were purchased at a price equal to 85% of the fair market value closing price of the Issuer's ordinary shares on February 28, 2020 (the purchase date of the offering period).
  2. Includes restricted share units, which vest over various time periods.
  3. Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on December 14, 2020, was $2.59 to $2.73. The Reporting Person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the Issuer, or a shareholder of the Issuer, full information regarding the number of shares sold at each separate price.
  4. 1,183 ESPP shares were inadvertently omitted from Dr. Rosenwald's original Form 4 filed on December 15, 2020.