Statement of Changes in Beneficial Ownership (4)
November 03 2020 - 05:39PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * Morris
Ronnie |
2. Issuer Name and Ticker or Trading
Symbol CHAMPIONS ONCOLOGY, INC. [ CSBR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CEO |
|
(Last)
(First)
(Middle)
C/O CHAMPIONS ONCOLOGY, INC., ONE UNIVERSITY PLACE, SUITE
307 |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/11/2020
|
|
(Street)
HACKENSACK, NJ 07601
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
3/11/2020 |
|
M |
|
124232 |
A |
$5.76 |
961400 |
D |
|
|
Common Stock |
3/11/2020 |
|
M |
|
2708 |
A |
$4.80 |
964108 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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) |
3/11/2020 |
|
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) |
3/11/2020 |
|
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
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Morris Ronnie
C/O CHAMPIONS ONCOLOGY, INC.
ONE UNIVERSITY PLACE, SUITE 307
HACKENSACK, NJ 07601 |
X |
|
CEO |
|
Signatures
|
|
/s/ Ronnie Morris |
|
3/30/2020 |
| **Signature of
Reporting Person |
Date |
Champions Oncology (NASDAQ:CSBR)
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