Mohan Pankaj 4/A
4/A · Sonnet BioTherapeutics Holdings, Inc. · Filed Jun 5, 2020
Insider Transaction Report
Form 4/AAmended
Mohan Pankaj
DirectorChairman, President and CEO
Transactions
- Award
Common Stock
2020-04-01+930,705→ 930,705 total(indirect: By Mohan Family Office)
Footnotes (2)
- [F1]As reported on a Form 4 filed on April 3, 2020 (the "Original Form"), shares of common stock of Sonnet BioTherapeutics, Inc. ("Sonnet Sub") were converted into shares of the Issuer's common stock pursuant to the Agreement and Plan of Merger, dated as of October 10, 2019, as amended, by and among the Issuer, Sonnet Sub and Biosub Inc. (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of Sonnet Sub common stock was exchanged for approximately 0.106572 shares of the Issuer's common stock. This amendment is being filed in order to correct (1) that the Original Form did not have the box for "10% Owner" in Box 5 checked, although the Reporting Person is required to check that box, and (2) the number of shares of the Issuer's common stock that were issued pursuant to the Merger Agreement in exchange for the shares of Sonnet Sub common stock previously held by the Mohan Family Office.
- [F2]Reporting Person jointly exercises dispositive and voting power over the securities owned by the Mohan Family Office.