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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 | ||||||||
Restricted Stock Units | (1) | 06/30/2020 | M | 787 | (2) | (2) | Common Stock | 787 | $ 0 | 1,575 (3) | I | By self due to Control over the Entity that holds RSUs |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VERU DENNISON T C/O BRICKELL BIOTECH, INC. 5777 CENTRAL AVENUE, SUITE 102 BOULDER, CO 80301 |
X |
/s/ Christine G. Long, Attorney-in-Fact for Dennison T. Veru (power of attorney previously filed) | 07/02/2020 | |
**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) | Restricted stock units ("RSUs") converted into common stock on a one-for-one basis. |
(2) | These RSUs were granted on February 14, 2020 and vest in installments through August 31, 2020. |
(3) | The reporting person filed a Form 4 on June 5, 2020 which reported, among other transactions, the vesting on various dates of portions of a grant of RSUs made on February 14, 2020. Column 9 of Table II of that Form 4 incorrectly reported the number of unvested RSUs remaining from that grant following each such vesting. The number reported in this Column 9 of Table II of this Form 4 represents the correct number of unvested RSUs remaining from the February 14, 2020 grant following the vestings that were reported on the Form 4 filed on June 5, 2020, as well as the vesting that occurred on June 30, 2020 as reported on this Form 4. |