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 | ||||
Stock Option | (1) | 07/09/2024 | Common Stock | 50,000 | $ 1 | D | |
Stock Option | (2) | 01/28/2024 | Common Stock | 18,861 | $ 0.1657 | D | |
Warrant | 05/16/2014 | 05/16/2019 | Common Stock | 10,000 | $ 1 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOLMER ALAN F C/O CORBUS PHARMACEUTICALS HOLDINGS, INC 100 RIVER RIDGE DRIVE NORWOOD, MA 02062 |
X |
/s/ Alan Holmer | 11/24/2014 | |
**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) | The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option vests in equal monthly installments over a period of 24 months; such vesting commenced on July 9, 2014. |
(2) | On April 11, 2014, JB Therapeutics, Inc. completed a reverse acquisition with the issuer, and on that date, options to purchase shares of common stock of JB Therapeutics, Inc. held by Mr. Holmer were converted into options to purchase shares of common stock of the issuer. The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option vests in equal monthly installments over a period of 12 months; such vesting commenced on January 28, 2014. |