Armata Pharmaceuticals, Inc. — Director's Dealing 2016

Apr 12, 2016

SEC Form 3/A — Form 3/A

Issuer: AmpliPhi Biosciences Corp (APHB)
CIK: 0000921114
Period of Report: 2014-02-18

Reporting Person: COOK JEREMY CURNOCK (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	120000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series B Convertible Preferred Stock	$		Common Stock (142857)		Indirect
Warrant to Purchase Common Stock	$7.00	2018-06-26	Common Stock (35714)		Indirect

Footnotes

F1: The shares are held by One Funds Management Limited as Trustee for Asia Pacific Healthcare Fund II ("One Funds Management"). The Reporting Person may be deemed to have shared voting and dispositive power over the shares beneficially owned by One Funds Management but disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.

F2: The Series B Convertible Preferred Stock has no expiration date and is convertible at any time at the option of the holder at a conversion ratio of one share of Common Stock for every 5 shares of Series B Convertible Preferred Stock, for no additional consideration.

F3: The warrant is exercisable at any time at the option of the holder.

F4: The warrant is held by Phillip Asset Management. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.