Initial Statement of Beneficial Ownership (3)
03 Abril 2023 - 4:47PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
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Kim Bobae |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/30/2023
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3. Issuer Name and Ticker or Trading Symbol
Bellerophon Therapeutics, Inc. [BLPH]
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(Last)
(First)
(Middle)
44 PROSPECT ST., APT. 536 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
VP Reg. Affairs & Quality / |
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(Street)
MORRISTOWN, NJ 07960
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 9890 | D |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 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) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (1) | (2) | Common Stock | 11000 | $0 | D |
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| Stock Options (right to buy) | (3) | 9/30/2026 | Common Stock | 133 | $21 | D |
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| Stock Options (right to buy) | (3) | 12/7/2026 | Common Stock | 266 | $7.35 | D |
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| Stock Options (right to buy) | (3) | 3/22/2028 | Common Stock | 1200 | $33 | D |
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| Stock Options (right to buy) | (3) | 1/2/2029 | Common Stock | 1000 | $13.20 | D |
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| Stock Options (right to buy) | (4) | 9/26/2029 | Common Stock | 1166 | $7.50 | D |
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| Stock Options (right to buy) | (5) | 2/10/2033 | Common Stock | 50000 | $1.52 | D |
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| Explanation of Responses: |
| (1) | Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Bellerophon common stock. The restricted stock units are scheduled to vest on December 8, 2023, as long as the reporting person remains in the service of Bellerophon through the respective vesting date. |
| (2) | Not Applicable. |
| (3) | Fully vested and exercisable. |
| (4) | This option was granted on September 26, 2019. This option vests in quarterly installments over a four-years period from the date of grant. |
| (5) | This option vests as to 25% of the underlying shares on February 10, 2024 and the remaining options vest quarterly over a period of 3 years thereafter. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Kim Bobae
44 PROSPECT ST.
APT. 536
MORRISTOWN, NJ 07960 |
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| VP Reg. Affairs & Quality |
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Signatures
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| /s/ Bobae Kim | | 4/3/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | 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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. |
Bellerophon Therapeutics (NASDAQ:BLPH)
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