0001551986-20-000208.txt : 20200702 0001551986-20-000208.hdr.sgml : 20200702 20200702162804 ACCESSION NUMBER: 0001551986-20-000208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200702 DATE AS OF CHANGE: 20200702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Laumas Sandeep CENTRAL INDEX KEY: 0001721664 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37797 FILM NUMBER: 201009774 MAIL ADDRESS: STREET 1: 8480 HONEYCUTT RD, SUITE 200 CITY: RALEIGH STATE: NC ZIP: 27615 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: 9 METERS BIOPHARMA, INC. CENTRAL INDEX KEY: 0001551986 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 273948465 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8480 HONEYCUTT ROAD STREET 2: SUITE 120 CITY: RALEIGH STATE: NC ZIP: 27615 BUSINESS PHONE: 919-275-1933 MAIL ADDRESS: STREET 1: 8480 HONEYCUTT ROAD STREET 2: SUITE 120 CITY: RALEIGH STATE: NC ZIP: 27615 FORMER COMPANY: FORMER CONFORMED NAME: INNOVATE BIOPHARMACEUTICALS, INC. DATE OF NAME CHANGE: 20180201 FORMER COMPANY: FORMER CONFORMED NAME: Monster Digital, Inc. DATE OF NAME CHANGE: 20150930 FORMER COMPANY: FORMER CONFORMED NAME: Tandon Digital, Inc. DATE OF NAME CHANGE: 20120611 4 1 wf-form4_159372161414654.xml FORM 4 X0306 4 2020-06-30 0 0001551986 9 METERS BIOPHARMA, INC. NMTR 0001721664 Laumas Sandeep C/O 9 METERS BIOPHARMA, INC. 8480 HONEYCUTT ROAD, SUITE 120 RALEIGH NC 27615 1 0 0 0 Common stock 2020-06-30 4 C 0 42400 0 A 60400 D Common stock 758373 I By Bearing Circle Capital LLC Series A Convertible Preferred Stock 2020-06-30 4 C 0 424 0 D 2020-05-04 Common stock 42400.0 0 D These shares are held by Bearing Circle Capital LLC. Dr. Laumas is affiliated with Bearing Circle Capital LLC and has voting and investment power over the shares held by Bearing Circle Capital LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. The Series A Convertible Preferred Stock automatically converted to common stock on a 1-to-100 basis upon approval by the Company's stockholders on June 30, 2020. /s/ Lorna Knick, as power of attorney 2020-07-02