Filing Details
- Accession Number:
- 0001144204-10-062975
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-22 17:28:51
- Reporting Period:
- 2010-11-18
- Filing Date:
- 2010-11-22
- Accepted Time:
- 2010-11-22 17:28:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1318641 | Cleveland Biolabs Inc | CBLI | Services-Commercial Physical & Biological Research (8731) | 200077155 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1244745 | L Bernard Kasten | C/O Cleveland Biolabs, Inc. 73 High Street Buffalo NY 14203 | 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, Par Value $0.005 Per Share | Acquisiton | 2010-11-18 | 2,000 | $6.10 | 17,656 | No | 4 | P | Indirect | See footnote |
| Common Stock, Par Value $0.005 Per Share | Acquisiton | 2010-11-19 | 10,000 | $6.15 | 27,656 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See footnote |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to Buy) | $6.00 | 2006-07-20 | 2016-07-19 | 15,000 | 15,000 | Direct |
| Common Stock | Stock Options (Right to Buy) | $9.40 | 2007-06-12 | 2017-06-11 | 35,000 | 35,000 | Direct |
| Common Stock | Stock Options (Right to Buy) | $5.88 | 2008-04-29 | 2018-04-28 | 35,000 | 35,000 | Direct |
| Common Stock | Stock Options (Right to Buy) | $3.33 | 2009-06-25 | 2019-06-24 | 35,000 | 35,000 | Direct |
| Common Stock | Stock Options (Right to Buy) | $2.98 | 2010-06-08 | 2020-06-07 | 35,000 | 35,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-07-19 | 15,000 | 15,000 | Direct |
| 2017-06-11 | 35,000 | 35,000 | Direct |
| 2018-04-28 | 35,000 | 35,000 | Direct |
| 2019-06-24 | 35,000 | 35,000 | Direct |
| 2020-06-07 | 35,000 | 35,000 | Direct |
Footnotes
- Shares were acquired through a brokerage account in the name of Mr. Kasten's granddaughter. Mr. Kasten has voting and investment power over the shares of common stock held in this brokerage account. As such, Mr. Kasten is deemed to have beneficial ownership of the shares of common stock held through this brokerage account.
Billionaire Hedge Funds
