Statement of Changes in Beneficial Ownership (4)
04 November 2020 - 9:46AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
ACKERMAN JOEL |
2. Issuer Name and Ticker or Trading Symbol
CHAMPIONS ONCOLOGY, INC.
[
CSBR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CHAMPIONS ONCOLOGY, INC., ONE UNIVERSITY PLACE, SUITE 307 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/3/2020 |
(Street)
HACKENSACK, NJ 07601
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/3/2020 | | M | | 124232 | A | $5.76 | 1441220 | D | |
Common Stock | 3/3/2020 | | M | | 2708 | A | $4.80 | 1443928 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrant to purchase shares of Common Stock | $5.76 (1) | 3/3/2020 | | M | | | 124232 (1) | 3/13/2015 (2) | 3/13/2020 | Common Stock | 124232.0 | $5.76 | 0 | D | |
Warrant to purchase shares of Common Stock | $4.8 (1) | 3/3/2020 | | M | | | 2708 (1) | 3/13/2015 (2) | 3/13/2020 | Common Stock | 2708.0 | $4.80 | 0 | D | |
Explanation of Responses: |
(1) | Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split. |
(2) | The options were immediately exercisable upon grant on March 13, 2015. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ACKERMAN JOEL C/O CHAMPIONS ONCOLOGY, INC. ONE UNIVERSITY PLACE, SUITE 307 HACKENSACK, NJ 07601 | X |
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Signatures
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/s/ Joel Ackerman | | 3/31/2020 |
**Signature of Reporting Person | Date |
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