Filing Details
- Accession Number:
- 0001415889-22-012347
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-09 17:19:59
- Reporting Period:
- 2022-12-07
- Accepted Time:
- 2022-12-09 17:19:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1563665 | Biostage Inc. | BSTG | Surgical & Medical Instruments & Apparatus (3841) | 455210462 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1727177 | Jing Chen | C/O Biostage, Inc. 84 October Hill Road, Suite 11 Holliston MA 01746 | No | 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 | 2022-12-07 | 174,000 | $2.00 | 210,000 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2022-12-07 | 48,532 | $7.17 | 161,468 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants (right to buy) | Disposition | 2022-12-07 | 174,000 | $0.00 | 174,000 | $2.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-12-27 | 2022-12-27 | No | 4 | X | Direct |
Footnotes
- On December 7, 2022, the Reporting Person exercised a warrant to purchase 174,000 shares of common stock for $2 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in Biostage's withholding of 48,532 shares to pay the exercise price based on the daily VWAP of $7.1706, and issuing the remaining 125,468 shares of common stock.
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