| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol CombiMatrix Corp [ CBMX ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 02/25/2015 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock, $0.001 par value | 02/25/2015 | P | 19,900 | A | $1.97(1) | 1,292,857(2) | D | |||
| Common Stock, $0.001 par value | 02/26/2015 | P | 146,000 | A | $2.01(3) | 1,438,857(4) | D | |||
| Common Stock, $0.001 par value | 02/27/2015 | P | 76,860 | A | $2.04(5) | 1,515,717(6) | D | |||
| Common Stock, $0.001 par value | 03/02/2015 | P | 28,200 | A | $2.05(7) | 1,543,917(6) | D | |||
| Common Stock, $0.001 par value | 03/03/2015 | P | 39,100 | A | $2.01(8) | 1,583,017(9) | D | |||
| Common Stock, $0.001 par value | 03/04/2015 | P | 46,260 | A | $2(10) | 1,629,277(11) | D | |||
| Common Stock, $0.001 par value | 03/05/2015 | S | 1,000 | D | $2.04 | 1,628,277(11) | D | |||
| Common Stock, $0.001 par value | 03/06/2015 | S | 16,700 | D | $2.03(12) | 1,611,577(13) | D | |||
| Common Stock, $0.001 par value | 03/06/2015 | P | 700 | A | $2.04(14) | 1,612,277(15) | D | |||
| Common Stock, $0.001 par value | 03/09/2015 | P | 24,400 | A | $1.98(16) | 1,636,677(17) | D | |||
| Common Stock, $0.001 par value | 03/10/2015 | P | 17,300 | A | $1.93(18) | 1,653,977(19) | D | |||
| Common Stock, $0.001 par value | 03/10/2015 | S | 200 | D | $1.93 | 1,653,777(20) | D | |||
| Common Stock, $0.001 par value | 03/11/2015 | P | 7,500 | A | $1.97(21) | 1,661,277(22) | D | |||
| Common Stock, $0.001 par value | 03/12/2015 | P | 8,000 | A | $2.01(23) | 1,669,277(24) | D | |||
| Common Stock, $0.001 par value | 03/12/2015 | P | 2,900 | A | $2.01(25) | 2,900 | I | By LLC(26) | ||
| Common Stock, $0.001 par value | 03/13/2015 | P | 3,780 | A | $1.98(27) | 1,673,057(28) | D | |||
| Common Stock, $0.001 par value | 03/16/2015 | P | 25,600 | A | $1.99(29) | 1,698,657(30) | D | |||
| Common Stock, $0.001 par value | 03/17/2015 | P | 7,300 | A | $1.98(31) | 1,705,957(32) | D | |||
| Common Stock, $0.001 par value | 03/18/2015 | P | 6,900 | A | $1.95(33) | 1,712,857(34) | D | |||
| Common Stock, $0.001 par value | 03/19/2015 | S | 6,000 | D | $2.19(35) | 1,706,857(36) | D | |||
| Common Stock, $0.001 par value | 03/19/2015 | S | 2,900 | D | $2.11(37) | 0 | I | By LLC(26) | ||
| Common Stock, $0.001 par value | 03/20/2015 | P | 2,100 | A | $2.12(38) | 1,708,957(36) | D | |||
| Common Stock, $0.001 par value | 03/27/2015 | P | 3,500 | A | $1.95(39) | 1,712,457(40) | D | |||
| Common Stock, $0.001 par value | 03/30/2015 | P | 1,700 | A | $1.92(41) | 1,714,157(42) | D | |||
| Common Stock, $0.001 par value | 04/01/2015 | P | 3,000 | A | $1.88(43) | 1,717,157(42) | D | |||
| Common Stock, $0.001 par value | 04/02/2015 | P | 1,200 | A | $1.9(44) | 1,718,357(45) | D | |||
| Common Stock, $0.001 par value | 04/08/2015 | P | 1,000 | A | $1.86(46) | 1,719,357(47) | D | |||
| Common Stock, $0.001 par value | 04/09/2015 | P | 9,100 | A | $1.89(48) | 1,728,457(49) | D | |||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 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: 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 | ||||||||
| Explanation of Responses: |
| 1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.89 to $2.00, inclusive. The reporting person undertakes to provide to CombiMatrix Corporation, any security holder of CombiMatrix Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in any and all footnotes to this Form 4 that report weighted average prices. Certain of the transactions reported on this statement resulted in short swing profits under Section 16(b) of the Securities Exchange Act of 1934, as amended. The reporting person has remitted $5,184.91 to the issuer, representing the profit realized in connection with the short swing transactions. |
| 2. Includes 872,508 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 3. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.06, inclusive. |
| 4. Includes 901,408 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 5. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.08, inclusive. |
| 6. Includes 957,768 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 7. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.98 to $2.08, inclusive. |
| 8. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.03, inclusive. |
| 9. Includes 996,868 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 10. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.05, inclusive. |
| 11. Includes 1,043,128 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 12. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.02 to $2.05, inclusive. |
| 13. Includes 1,611,577 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 14. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.02 to $2.03, inclusive. |
| 15. Includes 1,032,128 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 16. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.95 to $1.99, inclusive. |
| 17. Includes 1,038,128 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 18. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.89 to $1.94, inclusive. |
| 19. Includes1,055,328 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 20. Includes 1,055,128 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 21. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.94 to $1.99, inclusive. |
| 22. Includes 1,062,628 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 23. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.05, inclusive. |
| 24. Includes 1,070,228 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 25. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.05, inclusive. |
| 26. These shares are held by a limited liability company of which the reporting person is sole member and sole manager. |
| 27. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.94 to $1.99, inclusive. |
| 28. Includes 1,074,008 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 29. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.00, inclusive. |
| 30. Includes 1,099,608 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 31. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.01, inclusive. |
| 32. Includes 1,106,908 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 33. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.93 to $2.00, inclusive. |
| 34. Includes 1,113,808 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 35. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.10 to $2.28, inclusive. |
| 36. Includes 1,111,808 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 37. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.09 to $2.14, inclusive. |
| 38. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.11 to $2.12, inclusive. |
| 39. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.94 to $1.95, inclusive. |
| 40. Includes 1,115,308 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 41. These shares were purchased in multiple transactions at the price reported in Column 4. |
| 42. Includes 1,117,008 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 43. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.86 to $1.88, inclusive. |
| 44. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.86 to $1.90, inclusive. |
| 45. Includes 1,118,208 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 46. These shares were purchased in multiple transactions at the price reported in Column 4. |
| 47. Includes 1,119,208 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| 48. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.85 to $1.91, inclusive. |
| 49. Includes 1,128,308 shares over which the reporting person shares voting power and dispositive power with his spouse. |
| Remarks: |
| /s/ Edward Arthur Hamilton | 04/24/2015 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||
