Kurt M Eichler Form 3 Spring Bank Pharmaceuticals / Kurt M Eichler ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL 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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1. Name and Address of Reporting Person^*

Eichler Kurt M

(Last)

(First)

(Middle)

C/O SPRING BANK PHARMACEUTICALS, INC.

113 CEDAR STREET

(Street)

MILFORD

01757

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
05/05/2016

3. Issuer Name and Ticker or Trading Symbol
Spring Bank Pharmaceuticals, Inc. [ SBPH ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	382.324	D
Common Stock	10,000	I	See Footnote⁽¹⁾
Common Stock	10,000	I	See Footnote⁽²⁾
Common Stock	10,000	I	See Footnote⁽³⁾
Common Stock	10,000	I	See Footnote⁽⁴⁾

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (right to buy)	⁽⁵⁾	08/19/2025	Common Stock	5,000	12.88	D
Warrant (right to buy)	⁽⁶⁾	10/26/2017	Common Stock	9,375	8	I	See Footnote⁽⁷⁾
Warrant (right to buy)	⁽⁶⁾	10/26/2017	Common Stock	9,375	8	I	See Footnote⁽⁸⁾
Warrant (right to buy)	⁽⁶⁾	10/26/2017	Common Stock	9,375	8	I	See Footnote⁽⁹⁾
Warrant (right to buy)	⁽⁶⁾	10/26/2017	Common Stock	9,375	8	I	See Footnote⁽¹⁰⁾
Warrant (right to buy)	⁽⁶⁾	12/13/2018	Common Stock	10,416	9	I	See Footnote⁽⁷⁾
Warrant (right to buy)	⁽⁶⁾	12/13/2018	Common Stock	10,416	9	I	See Footnote⁽⁸⁾
Warrant (right to buy)	⁽⁶⁾	12/13/2018	Common Stock	10,416	9	I	See Footnote⁽⁹⁾
Warrant (right to buy)	⁽⁶⁾	12/13/2018	Common Stock	10,416	9	I	See Footnote⁽¹⁰⁾

Explanation of Responses:

1. These shares are directly held by Kurt M. Eichler Trust Under Agreement dated 12/27/14 FBO Emerson Eichler (the "Emerson Eichler Trust"). The Reporting Person's immediate family member is a beneficiary of the Emerson Eichler Trust, and the Reporting Person is a trustee of the Emerson Eichler Trust.

2. These shares are directly held by Kurt M. Eichler Trust Under Agreement dated 12/27/14 FBO Katherine Eichler (the "Katherine Eichler Trust"). The Reporting Person's immediate family member is a beneficiary of the Katherine Eichler Trust, and the Reporting Person is a trustee of the Katherine Eichler Trust.

3. These shares are directly held by Kurt M. Eichler Trust Under Agreement dated 12/27/14 FBO Lindsay Eichler (the "Lindsay Eichler Trust"). The Reporting Person's immediate family member is a beneficiary of the Lindsay Eichler Trust, and the Reporting Person is a trustee of the Lindsay Eichler Trust.

4. These shares are directly held by Kurt M. Eichler Trust Under Agreement dated 12/27/14 FBO Pauline Eichler (the "Pauline Eichler Trust"). The Reporting Person's immediate family member is a beneficiary of the Pauline Eichler Trust, and the Reporting Person is a trustee of the Pauline Eichler Trust.

5. This option was granted on August 20, 2015, with 31.25% of the shares subject to the option vesting on the date of grant and the remaining 75% of the shares subject to the option vesting in 12 equal monthly installments thereafter.

6. The warrant is immediately exercisable.

7. These warrants are directly held by Emerson Eichler, the Reporting Person's immediate family member.

8. These warrants are directly held by Katherine Eichler, the Reporting Person's immediate family member.

9. These warrants are directly held by Lindsay Eichler, the Reporting Person's immediate family member.

10. These warrants are directly held by Pauline Eichler, the Reporting Person's immediate family member.

Remarks:

Exhibit Index: 24.1 Power of Attorney

	/s/ Lori Firmani, attorney-in-fact	05/05/2016
	** 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 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).
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.

Kurt M Eichler Form 3Spring Bank Pharmaceuticals / Kurt M Eichler ownership change