UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants to purchase Common Stock (2) | 01/28/2022 | 01/28/2027 | Common Stock | 1,875,000 | $ 5 | I | By SymBiosis, LLC |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Walton Thomas Layton P.O. BOX 1860 BENTONVILLE, AR 72712 |
X |
/s/ Thomas Layton Walton | 08/07/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These shares of common stock are beneficially owned by the reporting person include (i) 1,137,846 shares of common stock already beneficially owned by the reporting person prior to July 28, 2021, and (ii) 2,500,000 shares of common stock beneficially owned by the reporting person that were purchased in the registered direct offering by BiomX Inc. that closed on July 28, 2021. The securities are directly held by SymBiosis, LLC, over which the reporting person exercises sole investment power. |
(2) | The warrants are directly held by SymBiosis, LLC, over which the reporting person exercises sole investment power. |