COOK JEREMY CURNOCK 4
4 · AmpliPhi Biosciences Corp · Filed Mar 26, 2018
Insider Transaction Report
Form 4
COOK JEREMY CURNOCK
Director
Transactions
- Purchase
Common Stock
2017-06-29+5,757→ 124,270 total(indirect: See Footnote) - Purchase
Common Stock
2018-03-22$1.10/sh+181,820$200,002→ 411,105 total(indirect: See Footnote) - Purchase
Common Stock
2016-06-21+15,057→ 71,847 total(indirect: See Footnote) - Purchase
Common Stock
2016-11-22$7.40/sh+46,666$345,328→ 118,513 total(indirect: See Footnote) - Purchase
Common Stock
2017-09-19+105,015→ 229,285 total(indirect: See Footnote) - Purchase
Warrant to Purchase Common Stock
2016-11-22$0.10/sh+46,666$4,667→ 46,666 total(indirect: See Footnote)Exercise: $0.57Exp: 2021-11-22→ Common Stock (46,666 underlying)
Holdings
- 330
Common Stock
Footnotes (5)
- [F1]The Shares were issued pursuant to a Common Stock Issuance Agreement, dated April 8, 2016, between the Issuer and certain holders of the Issuer's Series B Preferred Stock (the "Holders"), as amended. As consideration for the Shares, among other things, the Holders waived their right to receive certain cash payments to which they were entitled upon the conversion of their Series B Preferred Stock and also waived certain registration rights relating to certain future registration statements or public offerings that may be filed or conducted by the Issuer.
- [F2]The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
- [F3]Price reported is reflective of adjustments made to the exercise price after the date of issuance pursuant to the terms of the warrant.
- [F4]Immediately exercisable.
- [F5]The warrant is held by One Funds Management. The Reporting Person may be deemed to have shared voting and dispositive power over the securities beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.