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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 10/26/2017 | 3. Issuer Name and Ticker or Trading Symbol Spring Bank Pharmaceuticals, Inc. [ SBPH ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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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 | 833,839 | I | By UBS Oncology Impact Fund L.P.(1) |
Common Stock | 54,824 | I | By Burrage Capital Healthcare Fund I, L.P.(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (right to buy) | 05/24/2017 | 11/23/2021 | Common Stock | 603,070 | 10.79 | I | By UBS Oncology Impact Fund L.P.(1) |
Warrant (right to buy) | 05/24/2017 | 11/23/2021 | Common Stock | 54,824 | 10.79 | I | By Burrage Capital Healthcare Fund I, L.P. |
Explanation of Responses: |
1. The Reporting Person's spouse is the Managing Member of MPM Oncology Impact Management GP LLC, an indirect General Partner of UBS Oncology Impact Fund L.P. ("Oncology Impact Fund"). Dr. Bardon disclaims beneficial ownership of the securities held by Oncology Impact Fund, except to the extent of her or her spouse's pecuniary interest therein, and the inclusion of these securities in the report shall not be deemed an admission of beneficial ownership of the securities for the purposes of Section 16 or for any other purpose. |
2. The Reporting Person is the Portfolio Manager of Burrage Capital Healthcare Fund I, L.P. ("Burrage Capital"). Dr. Bardon disclaims beneficial ownership of the securities held by Burrage Capital, except to the extent of her pecuniary interest therein, and the inclusion of these securities in the report shall not be deemed an admission of beneficial ownership of the securities for the purposes of Section 16 or for any other purpose. |
Remarks: |
/s/ Sarah Reed, as attorney-in-fact | 10/30/2017 | |
** 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. |