RESPONSE BIOMEDICAL CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows, 25 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-01: Reporting owner Kinnaird-Steen Barbara; Form 4; Security Warrant; Transaction Holding.
- 2016-12-01: Reporting owner HOLLER ANTHONY F; Form 4; Security Warrant; Transaction Holding.
- 2016-12-01: Reporting owner OrbiMed Capital GP III LLC | ORBIMED ASIA GP, LP | ORBIMED ADVISORS LLC | OrbiMed Advisors Ltd | ISALY SAMUEL D; Form 4; Security Warrant; Transaction Holding.
- 2016-12-01: Reporting owner OrbiMed Capital GP III LLC | ORBIMED ASIA GP, LP | ORBIMED ADVISORS LLC | OrbiMed Advisors Ltd | ISALY SAMUEL D; Form 4; Security Warrant; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-01 holding as of filing | Kinnaird-Steen Barbara Director, Officer (Chief Executive Officer) | 4 | Warrant Derivative · Direct | Holding | 0 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | HOLLER ANTHONY F Director | 4 | Warrant Derivative · Direct | Holding | 24,650 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | OrbiMed Capital GP III LLC | ORBIMED ASIA GP, LP | ORBIMED ADVISORS LLC | OrbiMed Advisors Ltd | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 2,085,383 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | OrbiMed Capital GP III LLC | ORBIMED ASIA GP, LP | ORBIMED ADVISORS LLC | OrbiMed Advisors Ltd | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 19,858 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | OrbiMed Capital GP III LLC | ORBIMED ASIA GP, LP | ORBIMED ADVISORS LLC | OrbiMed Advisors Ltd | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 1,245,964 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | Thompson Peter A. Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 2,085,383 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | Thompson Peter A. Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 19,858 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | Thompson Peter A. Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 1,245,964 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | Wang Jonathan Jian Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 2,085,383 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | Wang Jonathan Jian Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 19,858 owned after | $1.42 exercise price | 2016-12-01 | |
| 2016-12-01 holding as of filing | Wang Jonathan Jian Director, 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | Holding | 1,245,964 owned after | $1.42 exercise price | 2016-12-01 | |
| 2013-11-07 | OrbiMed Advisors Ltd | ORBIMED ADVISORS LLC | ORBIMED ASIA GP, LP | OrbiMed Capital GP III LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +254,122 254,122 owned after | $3.58 exercise price | 2013-11-12 | |
| 2013-11-07 | OrbiMed Advisors Ltd | ORBIMED ADVISORS LLC | ORBIMED ASIA GP, LP | OrbiMed Capital GP III LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +2,408 2,408 owned after | $3.58 exercise price | 2013-11-12 | |
| 2013-11-07 | OrbiMed Advisors Ltd | ORBIMED ADVISORS LLC | ORBIMED ASIA GP, LP | OrbiMed Capital GP III LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +151,632 151,632 owned after | $3.58 exercise price | 2013-11-12 | |
| 2012-08-03 holding as of filing | Wang Jonathan Jian Director | 3 | Warrant Derivative · Indirect · See Footnotes | Holding | $0.07 exercise price | 2012-08-03 | ||
| 2012-08-03 holding as of filing | Wang Jonathan Jian Director | 3 | Warrant Derivative · Indirect · See Footnotes | Holding | $0.07 exercise price | 2012-08-03 | ||
| 2012-08-03 holding as of filing | Wang Jonathan Jian Director | 3 | Warrant Derivative · Indirect · See Footnotes | Holding | $0.07 exercise price | 2012-08-03 | ||
| 2012-01-11 holding as of filing | ORBIMED ASIA GP, LP | OrbiMed Capital GP III LLC | OrbiMed Advisors Ltd | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Indirect · See Footnotes | Holding | $0.07 exercise price | 2012-01-11 | ||
| 2012-01-11 holding as of filing | ORBIMED ASIA GP, LP | OrbiMed Capital GP III LLC | OrbiMed Advisors Ltd | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Indirect · See Footnotes | Holding | $0.07 exercise price | 2012-01-11 | ||
| 2012-01-11 holding as of filing | ORBIMED ASIA GP, LP | OrbiMed Capital GP III LLC | OrbiMed Advisors Ltd | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Indirect · See Footnotes | Holding | $0.07 exercise price | 2012-01-11 | ||
| 2012-01-10 holding as of filing | HOLLER ANTHONY F Director | 3/A | WARRANTS Derivative · Direct | Holding | $0.07 exercise price | 2012-01-10 | ||
| 2012-01-10 holding as of filing | Tsonis Anastasios Officer (Controller) | 3 | WARRANTS Derivative · Direct | Holding | $0.07 exercise price | 2012-01-10 | ||
| 2012-01-10 holding as of filing | Massitti Patricia Officer (VP - Administration) | 3 | WARRANTS Derivative · Direct | Holding | $0.07 exercise price | 2012-01-10 | ||
| 2012-01-10 holding as of filing | Kinnaird-Steen Barbara Officer (Vice President) | 3 | WARRANTS Derivative · Direct | Holding | $0.07 exercise price | 2012-01-10 | ||
| 2012-01-09 holding as of filing | HOLLER ANTHONY F Director | 3 | WARRANTS Derivative · Direct | Holding | $0.07 exercise price | 2012-01-09 |