UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options to purchase Common Stock | (1) | 04/14/2021 | Common Stock | 300,000 | $ 1.93 | D | |
Series C Convertible Preferred Stock | 05/26/2011 | (2) | Common Stock | 10,000 | $ 5.59 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SANDAGE BOBBY W PHD C/O CORONADO BIOSCIENCES, INC. 15 NEW ENGLAND EXECUTIVE PARK BURLINGTON, MA 01803 |
X | President and CEO |
By: Bobby W. Sandage, Jr. | 09/13/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 April 14, 2012, 2013 and 2014. |
(2) | Each share of Series C Convertible Preferred Stock shall be automatically converted into shares of Common Stock based on the then-effective conversion price immediately prior to the declaration or ordering of effectiveness of a resale registration filed by the issuer registering for resale by the holders thereof all of the Common Stock issuable upon conversion of the shares of Series C Convertible Preferred Stock. |