Statement of Changes in Beneficial Ownership (4)
20 Novembre 2019 - 10:33PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
GROSSMAN JONAS |
2. Issuer Name and Ticker or Trading Symbol
BiomX Inc.
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PHGE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CHARDAN CAP MRKTS LLC 17 STATE ST, 21 FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2019 |
(Street)
NEW YORK, NY 10004
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.0001 | 11/18/2019 | | P | | 1000 | A | $6.989 (1) | 1000 | D | |
Common Stock, par value $0.0001 | 11/19/2019 | | P | | 4100 | A | $7.573 (2) | 5100 | D | |
Common Stock, par value $0.0001 | 11/20/2019 | | P | | 1400 | A | $8.004 (3) | 6500 | D | |
Common Stock, par value $0.0001 | | | | | | | | 1707500 | I | See footnote (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrants | $11.50 | 11/18/2019 | | P | | 50129 | | 11/27/2019 | 10/28/2024 | Common Stock | 25064 | $0.599 (5) | 50129 | D | |
Warrants | $11.50 | | | | | | | 11/27/2019 | 10/28/2024 | Common Stock | 2900000 | | 2900000 | I | See footnote (6) |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.925 to $7.00, inclusive. The reporting person undertakes to provide to the issuer, and security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the ranges set forth in footnotes (1), (2) and (4) of this Form 4. |
(2) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.25 to $7.95, inclusive. |
(3) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.89 to $8.30, inclusive. |
(4) | Consists of shares of common stock owned by Chardan Investments, LLC, for which Jonas Grossman is the managing member. Mr. Grossman disclaims beneficial ownership of the shares except o the extent of his pecuniary interest in the shares. |
(5) | The price reported in Column 4 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.50 to $0.65, inclusive. |
(6) | Represents private warrants held by Mountain Wood, of which Jonas Grossman has voting and dispositive power over. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GROSSMAN JONAS C/O CHARDAN CAP MRKTS LLC 17 STATE ST 21 FLOOR NEW YORK, NY 10004 | X | X |
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Signatures
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/s/ Jonas Grossman | | 11/20/2019 |
**Signature of Reporting Person | Date |
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