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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AUBERTON-HERVE ANDRE-JACQUES C/O BIONIK LABORATORIES CORP. 483 BAY STREET, N105 TORONTO, A6 M5G2C9 |
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/s/ Andre-Jacques Auberton-Herve | 06/15/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | As previously disclosed by the reporting person on a Form 4, filed with the Securities and Exchange Commission on April 3, 2018, as of March 31, 2018, the Issuer became obligated to issue 1,010,152 shares of common stock (the "Star Shares") to Star SCI, an affiliate of the reporting person, as a result of the conversion of certain outstanding convertible promissory notes in accordance with their terms. The reporting person is filing this Form 4 to disclose that the Issuer issued the Star Shares as of June 13, 2018. |
(2) | As previously disclosed by the reporting person on a Form 4, filed with the Securities and Exchange Commission on April 3, 2018, as of March 31, 2018, the Issuer became obligated to issue 1,039,115 shares of common stock (the "4A Shares") to 4A Consulting and Engineering, an affiliate of the reporting person, as a result of the conversion of certain outstanding convertible promissory notes in accordance with their terms. The reporting person is filing this Form 4 to disclose that the Issuer issued the 4A Shares as of June 13, 2018. |