4//SEC Filing
Tafur Daniel 4
Accession 0001209191-17-067657
CIK 0001390478other
Filed
Dec 28, 7:00 PM ET
Accepted
Dec 29, 5:10 PM ET
Size
34.1 KB
Accession
0001209191-17-067657
Insider Transaction Report
Form 4
Transactions
- Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying)
Transactions
- Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying)
Transactions
- Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company)
Castilian Ltd.
10% Owner
Transactions
- Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company)
Lopez Fabio
Director10% Owner
Transactions
- Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company)
Transactions
- Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company)
Equilibria Capital Management Ltd
10% Owner
Transactions
- Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying) - Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company)
Varibobi Financial Holdings Ltd
10% Owner
Transactions
- Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying) - Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company)
Tafur Daniel
10% Owner
Transactions
- Award
Common Stock
2017-12-29+325,799→ 325,799 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By limited liability company) - Award
Warrant (Right to Buy)
2017-12-29+316,163→ 316,163 total(indirect: By Company)Exp: 2022-12-29→ Common Stock (316,163 underlying) - Award
Common Stock
2017-12-29+1,521,863→ 1,521,863 total(indirect: By Company) - Award
Common Stock
2017-12-29+676,324→ 676,324 total(indirect: By Company) - Award
Common Stock
2017-12-29+3,343→ 3,343 total(indirect: By Individual) - Award
Common Stock
2017-12-29+149,766→ 149,766 total(indirect: By limited liability company) - Award
Common Stock
2017-12-29+58,208→ 58,208 total(indirect: By Company)
Footnotes (10)
- [F1]Received in exchange for common shares of SELLAS Life Sciences Group, Ltd ("SELLAS") in connection with the merger of SELLAS and a wholly owned indirect subsidiary of the Issuer (then known as Galena Biopharma, Inc.) (the "Merger"). On the effective date of the Merger, each common share of SELLAS was converted into 43.9972 shares of the Issuer's common stock.
- [F10]Immediately exercisable.
- [F2]Shares held directly by Equilibria Capital Management Limited ("Equilibria"), a Bermuda limited liability company.
- [F3]Shares held directly by EQC Private Markets SAC Fund II Ltd EQC Biotech Sely S Fund ("Sely S"), a Bermuda mutual fund company. Equilibria manages Sely S and may be deemed to beneficially hold shares held by such fund.
- [F4]Shares held directly by EQC Private Markets SAC Fund Ltd EQC Biotech Sely I Fund, ("Sely I"), a Bermuda mutual fund company. Equilibria manages Sely I and may be deemed to beneficially hold shares held by such fund.
- [F5]Shares held directly by EQC Private Markets SAC Fund Ltd EQC Biotech Sely II Fund, ("Sely II"), a Bermuda mutual fund company. Equilibria manages Sely II and may be deemed to beneficially hold shares held by such fund.
- [F6]Shares held directly by EQC Private Markets II SAC Fund Ltd EQC Biotech Sely III Fund ("Sely III"), a Bermuda mutual fund company. Equilibria manages Sely III and may be deemed to beneficially hold shares held by such fund.
- [F7]Shares held by Varibobi Financial Holdings Limited, a Cyprus limited liability company ("Varibobi"). Varibobi is an owner of Equilibria and may be deemed to beneficially hold shares beneficially owned by Equilibria. Fabio Lopez is the sole owner of Varibobi and the chief executive officer and a board member of Equilibria and may be deemed to be the indirect beneficial owner of the shares owned by Varibobi and Equilibria. Mr. Lopez disclaims beneficial ownership of securities beneficially owned by Equilibria, except to the extent of any pecuniary interests therein.
- [F8]Shares held directly by Daniel Tafur ("Mr. Tafur"). Mr. Tafur is chief investment officer, founder and board member of Equilibria and may be deemed to beneficially own shares beneficially owned by Equilibria. Mr. Tafur disclaims beneficial ownership of securities beneficially owned by Equilibria, except to the extent of any pecuniary interests therein.
- [F9]The exercise price per share for the warrant is equal to 105% of the volume weighted average price of the Issuer's common stock for the 30 calendar days following the closing date of the Merger.
Documents
Issuer
SELLAS Life Sciences Group, Inc.
CIK 0001390478
Entity typeother
Related Parties
1- filerCIK 0001724558
Filing Metadata
- Form type
- 4
- Filed
- Dec 28, 7:00 PM ET
- Accepted
- Dec 29, 5:10 PM ET
- Size
- 34.1 KB