Filing Details
- Accession Number:
- 0000899243-16-019806
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-05-12 18:41:28
- Reporting Period:
- 2016-05-11
- Filing Date:
- 2016-05-12
- Accepted Time:
- 2016-05-12 18:41:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1566373 | Spring Bank Pharmaceuticals Inc. | SBPH | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1424591 | M Kurt Eichler | C/O Spring Bank Pharmaceuticals, Inc. 86 South Street Hopkinton MA 01748 | 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 | 2016-05-11 | 41,666 | $12.00 | 423,990 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-05-11 | 9,375 | $8.00 | 19,375 | No | 4 | X | Indirect | See Footnote |
| Common Stock | Acquisiton | 2016-05-11 | 9,375 | $8.00 | 19,375 | No | 4 | X | Indirect | See Footnote |
| Common Stock | Acquisiton | 2016-05-11 | 9,375 | $8.00 | 19,375 | No | 4 | X | Indirect | See Footnote |
| Common Stock | Acquisiton | 2016-05-11 | 9,375 | $8.00 | 19,375 | No | 4 | X | Indirect | See Footnote |
| Common Stock | Acquisiton | 2016-05-11 | 10,416 | $9.00 | 29,791 | No | 4 | X | Indirect | See Footnote |
| Common Stock | Acquisiton | 2016-05-11 | 10,416 | $9.00 | 29,791 | No | 4 | X | Indirect | See Footnote |
| Common Stock | Acquisiton | 2016-05-11 | 10,416 | $9.00 | 29,791 | No | 4 | X | Indirect | See Footnote |
| Common Stock | Acquisiton | 2016-05-11 | 10,416 | $9.00 | 29,791 | No | 4 | X | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 9 | $0.00 | 9,375 | $8.00 |
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 9 | $0.00 | 9,375 | $8.00 |
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 9 | $0.00 | 9,375 | $8.00 |
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 9 | $0.00 | 9,375 | $8.00 |
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 10,416 | $0.00 | 10,416 | $9.00 |
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 10,416 | $0.00 | 10,416 | $9.00 |
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 10,416 | $0.00 | 10,416 | $9.00 |
| Common Stock | Warrant (right to buy) | Disposition | 2016-05-11 | 10,416 | $0.00 | 10,416 | $9.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-10-26 | No | 4 | X | Indirect | |
| 0 | 2017-10-26 | No | 4 | X | Indirect | |
| 0 | 2017-10-26 | No | 4 | X | Indirect | |
| 0 | 2017-10-26 | No | 4 | X | Indirect | |
| 0 | 2018-12-13 | No | 4 | X | Indirect | |
| 0 | 2018-12-13 | No | 4 | X | Indirect | |
| 0 | 2018-12-13 | No | 4 | X | Indirect | |
| 0 | 2018-12-13 | No | 4 | X | Indirect |
Footnotes
- Reports the purchase of shares in the underwritten public offering of common stock of Spring Bank Pharmaceuticals, Inc.
- These shares are directly held by Emerson Eichler, the Reporting Person's immediate family member.
- These shares are directly held by Katherine Eichler, the Reporting Person's immediate family member.
- These shares are directly held by Lindsay Eichler, the Reporting Person's immediate family member.
- These shares are directly held by Pauline Eichler, the Reporting Person's immediate family member.
- The warrants were immediately exercisable.
- These warrants were directly held by Emerson Eichler, the Reporting Person's immediate family member.
- These warrants were directly held by Katherine Eichler, the Reporting Person's immediate family member.
- These warrants were directly held by Lindsay Eichler, the Reporting Person's immediate family member.
- These warrants were directly held by Pauline Eichler, the Reporting Person's immediate family member.
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