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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 | ||||||||
Warrants to purchase Common Stock | $ 6.15 (1) | 10/25/2011(1) | A | 6,798 (1) | (2) | (1)(3) | Common Stock | 6,798 (1) | $ 0 | 6,798 (1) | I | By LAR Family Trusts | |||
Warrants to purchase Common Stock | $ 6.15 (4) | 10/25/2011(4) | A | 3,399 (4) | (2) | (4)(5) | Common Stock | 3,399 (4) | $ 0 | 3,399 (4) | I | By LAR Family Trusts | |||
Warrants to purchase Common Stock | $ 6.15 (6) | 10/25/2011(6) | A | 850 (6) | (2) | (6)(7) | Common Stock | 850 (6) | $ 0 | 850 (6) | 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 | 02/13/2013 | |
**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) | This warrant was previously reported on February 14, 2012 with an incorrect exercise price of $9.23, transaction date of January 22, 2009, reference to 4,529 derivative securities acquired and beneficially owned and expiration date of January 22, 2014. |
(2) | This warrant is fully vested. |
(3) | 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. |
(4) | This warrant was previously reported on February 14, 2012 with an incorrect exercise price of $9.23, transaction date of May 28, 2009, reference to 2,265 derivative securities acquired and beneficially owned and expiration date of May 28, 2014. |
(5) | 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. |
(6) | This warrant was previously reported on February 14, 2012 with an incorrect exercise price of $9.23, transaction date of June 24, 2009, reference to 566 derivative securities acquired and beneficially owned and expiration date of June 24, 2014. |
(7) | 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. |