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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 | ||||||||
Stock Option(right to buy) (3) | $ 5.93 | 05/24/2018 | A | V | 34,000 | (3) | 05/24/2028 | Common Stock | 34,000 | $ 0 | 34,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hochman David P C/O CORBUS PHARMACEUTICALS HOLDINGS, INC 500 RIVER RIDGE DRIVE NORWOOD, MA 02062 |
X |
/s/ David Hochman | 05/29/2018 | |
**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) | The reporting person is a co-trustee of each of the NSH 2008 Family Trust, of which the reporting person is a beneficiary, the DPH 2008 Trust, of which the reporting person is a beneficiary, and the SHA 2008 Trust, of which the reporting person's sister is a beneficiary. On May 24, 2018, the co-trustees of the NSH 2008 Family Trust caused all of the shares of Common Stock of Corbus Pharmaceuticals Holdings, Inc. (the "Company") then held in the name of such trust to be transferred in equal portions to the DPH 2008 Trust and the SHA 2008 Trust, in accordance with the Trust Agreement Establishing NSH 2008 Family Trust, dated May 1, 2008. |
(2) | On March 15, 2018, the reporting person filed a Form 4 which inadvertently reported that a purchase of 5,000 shares of Common Stock was made for the account of the NSH 2008 Family Trust. In fact, such purchase was made for the account of the DPH 2008 Trust. Accordingly, Column 5 of Table I of this Form 4 reflects that, as of immediately prior to the transactions reported hereby, 220,000 shares were held in the name of the NSH 2008 Family Trust and 10,000 shares were held in the name of the DPH 2008 Trust. |
(3) | The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant. |