0001493152-20-005846.txt : 20200403
0001493152-20-005846.hdr.sgml : 20200403
20200403210706
ACCESSION NUMBER: 0001493152-20-005846
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200401
FILED AS OF DATE: 20200403
DATE AS OF CHANGE: 20200403
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mohan Pankaj
CENTRAL INDEX KEY: 0001664386
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35570
FILM NUMBER: 20775583
MAIL ADDRESS:
STREET 1: C/O SONNET BIOTHERAPEUTICS HOLDINGS, INC
STREET 2: 100 OVERLOOK CENTER
CITY: PRINCETON
STATE: NJ
ZIP: 08540
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sonnet BioTherapeutics Holdings, Inc.
CENTRAL INDEX KEY: 0001106838
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 522102141
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 100 OVERLOOK CENTER
STREET 2: SUITE 102
CITY: PRINCETON
STATE: NJ
ZIP: 08540
BUSINESS PHONE: 609-375-2227
MAIL ADDRESS:
STREET 1: 100 OVERLOOK CENTER
STREET 2: SUITE 102
CITY: PRINCETON
STATE: NJ
ZIP: 08540
FORMER COMPANY:
FORMER CONFORMED NAME: Chanticleer Holdings, Inc.
DATE OF NAME CHANGE: 20050510
FORMER COMPANY:
FORMER CONFORMED NAME: TULVINE SYSTEMS INC
DATE OF NAME CHANGE: 20000214
4
1
ownership.xml
X0306
4
2020-04-01
0
0001106838
Sonnet BioTherapeutics Holdings, Inc.
SONN
0001664386
Mohan Pankaj
100 OVERLOOK CENTER, SUITE 102
PRINCETON,
NJ
08540
1
1
0
0
Chairman, President and CEO
Common Stock
2020-04-01
4
A
0
7992
A
7992
I
By child
Common Stock
2020-04-01
4
A
0
1591116
A
1591116
I
By Mohan Family Office
Warrant to Purchase Common Stock
29.32
2020-04-01
4
A
0
4263
A
2020-04-01
2022-10-14
Common Stock
4263
4263
I
By Mohan Family Office
Shares of common stock of the corporation known as Sonnet BioTherapeutics, Inc. ("Sonnet Sub") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger, dated as of October 10, 2019, as amended, by and among the Issuer, Sonnet Sub and Biosub Inc., a Delaware corporation (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of Sonnet Sub common stock was exchanged for approximately 0.106572 shares of the Issuer's common stock, subject to adjustment for any reverse stock split. Prior to the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 26 shares of Issuer common stock outstanding and the Issuer changed its name to Sonnet BioTherapeutics Holdings, Inc. All share numbers reflect the reverse stock split.
Reporting Person jointly exercises dispositive and voting power over the securities owned by the Mohan Family Office.
Prior to the merger, Reporting Person held warrants to purchase 40,000 shares of the common stock of Sonnet Sub at an exercise price of $3.125 per share. Pursuant to the Merger Agreement, these warrants were converted into warrants to purchase 4,263 shares of Issuer common stock (as adjusted for the stock split) at a per share exercise price of $29.32 per share (as adjusted for the stock split).
/s/ John Harry Cross III, power of attorney
2020-04-03