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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options to purchase Common Stock | $ 7.42 | 02/07/2013 | A | 15,000 | (1) | 02/07/2023 | Common Stock | 15,000 | $ 0 | 15,000 | D | ||||
Options to purchase Common Stock | $ 6.25 | (2) | 02/10/2022 | Common Stock | 15,000 | 15,000 | D | ||||||||
Options to purchase Common Stock | $ 1.37 | (3) | 10/05/2020 | Common Stock | 25,000 | 25,000 | D | ||||||||
Warrants to purchase Common Stock (4) | $ 6.15 | (5) | (6) | Common Stock | 6,798 | 6,798 | I | By LAR Family Trusts | |||||||
Warrants to purchase Common Stock (7) | $ 6.15 | (5) | (8) | Common Stock | 3,399 | 3,399 | I | By LAR Family Trusts | |||||||
Warrants to purchase Common Stock (9) | $ 6.15 | (5) | (10) | Common Stock | 850 | 850 | I | By LAR Family Trusts |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROSENWALD LINDSAY A MD C/O CORONADO BIOSCIENCES, INC. 24 NEW ENGLAND EXECUTIVE PARK BURLINGTON, MA 01803 |
X | X |
/s/ Dale Ritter, Attorney-in-Fact | 02/11/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | One-third of the shares will vest on each of February 7, 2014, 2015 and 2016. |
(2) | One-third of the shares will vest on each of February 10, 2013, 2014 and 2015. |
(3) | One-third of the shares will vest on each of October 5, 2011, 2012 and 2013. |
(4) | Previously reported as a Warrant to purchase 4,529 shares of Common Stock at $9.23 per share. |
(5) | This warrant is fully vested. |
(6) | 4,472 shares underlying this warrant expire on January 22, 2014, 835 shares underlying this warrant expire on May 28, 2014 and 1,491 shares underlying this warrant expire on June 24, 2014. |
(7) | Previously reported as a Warrant to purchase 2,265 shares of Common Stock at $9.23 per share. |
(8) | 2,236 shares underlying this warrant expire on January 22, 2014, 417 shares underlying this warrant expire on May 28, 2014 and 746 shares underlying this warrant expire on June 24, 2014. |
(9) | Previously reported as a Warrant to purchase 566 shares of Common Stock at $9.23 per share. |
(10) | 559 shares underlying this warrant expire on January 22, 2014, 104 shares underlying this warrant expire on May 28, 2014 and 187 shares underlying this warrant expire on June 24, 2014. |