BioAmber Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 rows, 31 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-15: Reporting owner Haller Heinz; Form 4; Security Common Stock Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-08-15: Reporting owner BRINER KURT W; Form 4; Security Common Stock Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-08-15: Reporting owner Millis James; Form 4; Security Common Stock Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-08-15: Reporting owner RICHSTONE ELLEN B; Form 4; Security Common Stock Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-08-15 | Haller Heinz Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | BRINER KURT W Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +133,333 133,333 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | Millis James Officer (Chief Technology Officer) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +13,333 13,333 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | RICHSTONE ELLEN B Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +13,333 13,333 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | Settino Mario Officer (Chief Financial Officer) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | LAND RAYMOND J Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +13,333 13,333 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | LAND RAYMOND J Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | Hartmann Michael A. Officer (Executive Vice President) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +13,333 13,333 owned after | $0.75 exercise price | 2017-08-16 | |
| 2017-08-15 | Orecchioni Fabrice Officer (Chief Operations Officer) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +26,666 26,666 owned after | $0.75 exercise price | 2017-08-16 | |
| 2015-12-03 | Hartmann Michael A. Officer (Executive Vice President) | 4 | Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −121,800 0 owned after | $1.43 exercise price | 2015-12-04 | |
| 2015-12-03 | Huc Jean-Francois Director, Officer (President and CEO) | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −154,700 0 owned after | $1.43 exercise price | 2015-12-04 | |
| 2013-05-23 | BRINER KURT W Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +6,000 13,000 owned after | no price filed | 2013-05-24 | |
| 2013-05-22 | BRINER KURT W Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +7,000 7,000 owned after | no price filed | 2013-05-24 | |
| 2013-05-14 | Hartmann Michael A. Officer (Executive Vice President) | 4/A | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | no price filed | 2014-02-14 | |
| 2013-05-14 | Naxos Capital Partners SCA SICAR | Naxamber S.A. | Naxos Capital Managers S.a r.l. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +600,000 600,000 owned after | $11.00 exercise price | 2013-05-16 | |
| 2013-05-14 | Lucquin Denis Director | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · Sofinnova Capital VI FCPR | P Open market or private purchase of non-derivative or derivative security | +880,000 880,000 owned after | no price filed | 2013-05-16 | |
| 2013-05-14 | Hartmann Michael A. Officer (Executive Vice President) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −10,000 10,000 owned after | no price filed | 2013-05-16 | |
| 2013-05-14 | Huc Jean-Francois Director, Officer (President and CEO) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | no price filed | 2013-05-16 | |
| 2013-05-14 | Sofinnova Partners SAS | SOFINNOVA CAPITAL VI FCPR 10% Owner | 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +880,000 880,000 owned after | $10.00 | 2013-05-16 | |
| 2013-05-10 holding as of filing | MCVP TECHNOLOGY FUND I, LLC | MITSUI & CO LTD 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · MCVP Technology Fund I, LLC | Holding | $10.55 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Lucquin Denis Director | 3 | Warrants (right to buy) Derivative · Indirect · FCPR Sofinnova Capital VI | Holding | $5.74 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Lucquin Denis Director | 3 | Warrants (right to buy) Derivative · Indirect · FCPR Sofinnova Capital VI | Holding | $10.55 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Sofinnova Partners SAS | SOFINNOVA CAPITAL VI FCPR 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $10.55 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Sofinnova Partners SAS | SOFINNOVA CAPITAL VI FCPR 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $5.74 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Huc Jean-Francois Director, Officer (President and CEO) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $1.07 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Huc Jean-Francois Director, Officer (President and CEO) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $1.07 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Huc Jean-Francois Director, Officer (President and CEO) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $1.43 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Huc Jean-Francois Director, Officer (President and CEO) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $10.55 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | BRINER KURT W Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $1.43 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Hartmann Michael A. Officer (Executive Vice President) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $1.43 exercise price | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Hartmann Michael A. Officer (Executive Vice President) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $10.55 exercise price | 2013-05-10 |