| 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) 01/24/2018 | 3. Issuer Name and Ticker or Trading Symbol Bionik Laboratories Corp. [ BNKL ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 06/04/2018 | ||||||||||||||
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) |
| 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 | ||||
| Stock Option (Right to Buy) | (1)(2) | 09/01/2027 | Common Stock | 6,107,677 | 0.161 | I | Shares held through 4A Consulting and Engineering |
| Explanation of Responses: |
| 1. As of June 4, 2018, the Issuer and 4A Consulting and Engineering ("4A") entered into a First Amendment to Equity Compensation Agreement (the "Amendment"), which amended the vesting schedule of the options granted to 4A to purchase 6,107,677 shares of the Issuer's common stock, effective as of January 24, 2018. This Form 3 amendment is being filed to disclose the amended vesting schedule of the options pursuant to the Amendment. Pursuant to the Amendment, one-sixth of the option will be vested and exercisable as of the September 1, 2017 date of grant, and the unvested portion of the option will become vested and exercisable as follows: 100% in 5 equal annual installments on each of the five anniversaries of the date of the issuance of the option. |
| 2. The option shall be fully vested on the occurrence of any of the following conditions: (a) A Change of Control (as defined in the Company's 2014 Equity Incentive Plan) or (b) upon Andre-Jacques Auberton-Herve, the President of 4A, not being Chairman of the Board of the Issuer for any reason. |
| /s/ Andre-Jacques Auberton-Herve | 06/15/2018 | |
| ** 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. | ||
