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SBOT Stellar Biotechnologies, Inc. (MM)

1.05
0.00 (0.00%)
24 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Stellar Biotechnologies, Inc. (MM) NASDAQ:SBOT NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 1.05 1.06 1.08 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

11/06/2019 10:53pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

van der Velden Peter
2. Issuer Name and Ticker or Trading Symbol

Edesa Biotech, Inc. [ EDSA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O EDESA BIOTECH INC., 100 SPY COURT
3. Date of Earliest Transaction (MM/DD/YYYY)

6/7/2019
(Street)

MARKHAM, A6 L3R 5H6
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Shares   6/7/2019     A    1611338   (1) (3) A $0.00   1611338   I   Held by Lumira Capital II, L.P.   (2)
Common Shares   6/7/2019     A    148999   (1) (3) A $0.00   148999   I   Held by Lumira Capital II (International), L.P.   (2)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 7. Title and Amount of Securities Underlying Derivative Security
(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  Represents common shares of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.)(the "Issuer") issued in the share exchange transaction that was completed on June 7, 2019, pursuant to that certain Share Exchange Agreement, dated March 7, 2019, by and among the Issuer, Edesa Biotech Inc. and the shareholders of Edesa Biotech Inc.
(2)  This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ["LCII LP"], (ii) Lumira Capital II (International), L.P. ["LCII INT LP"], (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co. and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc. Lumira GP Holdings Co. and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any.
(3)  All share numbers reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
van der Velden Peter
C/O EDESA BIOTECH INC.
100 SPY COURT
MARKHAM, A6 L3R 5H6
X X

Lumira Capital Investment Management Inc.
141 ADELAIDE STREET WEST, SUITE 770
TORONTO, A6 M5H 3L5

X


Signatures
/s/ Peter van der Velden 6/11/2019
** Signature of Reporting Person Date

LUMIRA CAPITAL INVESTMENT MANAGEMENT INC., /s/ Vasco Larcina, VP Finance 6/11/2019
** 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 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).
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.

1 Year Stellar Biotechnologies Inc. Chart

1 Year Stellar Biotechnologies Inc. Chart

1 Month Stellar Biotechnologies Inc. Chart

1 Month Stellar Biotechnologies Inc. Chart

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