4//SEC Filing
Sun BioPharma, Inc. 4
Accession 0001437749-17-005536
CIK 0001029125operating
Filed
Mar 28, 8:00 PM ET
Accepted
Mar 29, 5:05 PM ET
Size
10.8 KB
Accession
0001437749-17-005536
Insider Transaction Report
Form 4
GILBERTSON RYAN RANDALL
10% Owner
Transactions
- Award
Common Stock
2017-03-27$0.75/sh+700,000$525,000→ 4,870,508 total - Award
Common Stock
2017-03-27$0.75/sh+280,000$210,000→ 280,000 total(indirect: By Foundation) - Disposition to Issuer
Convertible Promissory Note (right to buy)
2017-03-27−177,776→ 0 total(indirect: By Foundation)Exercise: $1.13From: 2015-09-14→ Common Stock (177,776 underlying) - Disposition to Issuer
Convertible Promissory Note (right to buy)
2017-03-27−444,444→ 0 totalExercise: $1.13From: 2015-09-14→ Common Stock (444,444 underlying)
Footnotes (4)
- [F1]Pursuant to an exchange agreement, on March 27, 2017 the recipient is entitled to the number of shares indicated on March 31, 2017.
- [F2]The shares will be issued in exchange for amounts due under a promissory note.
- [F3]The convertible promissory notes are scheduled to mature and become due and payable on December 27, 2018. The conversion right thereunder has no expiration date.
- [F4]Surrendered to issuer in exchange for shares of common stock pursuant to an exchange agreement.
Documents
Issuer
Sun BioPharma, Inc.
CIK 0001029125
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001029125
Filing Metadata
- Form type
- 4
- Filed
- Mar 28, 8:00 PM ET
- Accepted
- Mar 29, 5:05 PM ET
- Size
- 10.8 KB