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VICL Vical Inc

0.676
0.00 (0.00%)
Pre Market
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Vical Inc NASDAQ:VICL 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% 0.676 0.6601 0.676 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

05/06/2020 10:25pm

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 *

HARDY REGINALD L
2. Issuer Name and Ticker or Trading Symbol

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

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman of the Board
(Last)          (First)          (Middle)

C/O BRICKELL BIOTECH, INC., 5777 CENTRAL AVENUE, SUITE 102
3. Date of Earliest Transaction (MM/DD/YYYY)

2/14/2020
(Street)

BOULDER, CO 80301
(City)        (State)        (Zip)
4. 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

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 Stock 2/14/2020  M  4454 A (1)172877 D 
 
Common Stock 2/14/2020  F  1426 (2)D$1.16 171451 D 
 
Common Stock 2/29/2020  M  883 A (1)172334 D 
 
Common Stock 2/29/2020  F  283 (2)D$2.93 172051 D 
 
Common Stock 3/31/2020  M  882 A (1)172933 D 
 
Common Stock 3/31/2020  F  283 (2)D$1.19 172650 D 
 
Common Stock 4/30/2020  M  883 A (1)173533 D 
 
Common Stock 4/30/2020  F  283 (2)D$1.20 173250 D 
 
Common Stock 5/31/2020  M  882 A (1)174132 D 
 
Common Stock 5/31/2020  F  283 (2)D$1.16 173849 D 
 
Common Stock 6/3/2020  A  22023 (3)A$0 195872 D 
 
Common Stock         9261 I By Spouse 
Common Stock         21826 I By Spouse (spouse jointly owns with other Individual) 
Common Stock         17260 I By Spouse as Trustee 
Common Stock         266447 I By Self as General Partner 
Common Stock         17260 I By Self as Trustee 

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units  (1)2/14/2020  M     4454   (4) (4)Common Stock 4454 $0 4454 D 
 
Restricted Stock Units  (1)2/29/2020  M     883   (4) (4)Common Stock 883 $0 883 D 
 
Restricted Stock Units  (1)3/31/2020  M     882   (4) (4)Common Stock 882 $0 882 D 
 
Restricted Stock Units  (1)4/30/2020  M     883   (4) (4)Common Stock 883 $0 883 D 
 
Restricted Stock Units  (1)5/31/2020  M     882   (4) (4)Common Stock 882 $0 882 D 
 
Stock Option (right to buy) $1.12 6/3/2020  A   5333    8/31/2020 6/3/2030 Common Stock 5333 $0 5333 D 
 

Explanation of Responses:
(1) Restricted stock units ("RSUs") converted into common stock on a one-for-one basis.
(2) Represents shares withheld to satisfy tax withholding obligations upon the vesting of RSUs.
(3) Represents RSUs that are scheduled to vest on August 31, 2020 and will be settled in the form of one share of common stock for each RSU.
(4) These RSUs were granted on February 14, 2020 and vest in installments through August 31, 2020.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
HARDY REGINALD L
C/O BRICKELL BIOTECH, INC.
5777 CENTRAL AVENUE, SUITE 102
BOULDER, CO 80301
X
Chairman of the Board

Signatures
/s/ Christine G. Long, Attorney-in-Fact for Reginald L. Hardy (power of attorney filed herewith)6/5/2020
**Signature of Reporting PersonDate

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