0001104659-24-068319.txt : 20240604 0001104659-24-068319.hdr.sgml : 20240604 20240604171341 ACCESSION NUMBER: 0001104659-24-068319 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240603 FILED AS OF DATE: 20240604 DATE AS OF CHANGE: 20240604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ralston Shannon CENTRAL INDEX KEY: 0002023708 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39619 FILM NUMBER: 241019333 MAIL ADDRESS: STREET 1: C/O KIROMIC BIOPHARMA, INC. STREET 2: 7707 FANNIN STREET, SUITE 140 CITY: HOUSTON STATE: TX ZIP: 77054 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Kiromic Biopharma, Inc. CENTRAL INDEX KEY: 0001792581 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 464762913 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7707 FANNIN ST. STREET 2: SUITE 140 CITY: HOUSTON STATE: TX ZIP: 77054 BUSINESS PHONE: 832-968-4888 MAIL ADDRESS: STREET 1: 7707 FANNIN ST. STREET 2: SUITE 140 CITY: HOUSTON STATE: TX ZIP: 77054 FORMER COMPANY: FORMER CONFORMED NAME: Kiromic, Inc. DATE OF NAME CHANGE: 20191029 4 1 tm2416365-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-06-03 0 0001792581 Kiromic Biopharma, Inc. KRBP 0002023708 Ralston Shannon C/O KIROMIC BIOPHARMA INC. 7707 FANNIN, SUITE 200 HOUSTON TX 77054 0 0 1 0 0 $2,000,000 Senior Secured Convertible Note 2.50 2024-06-03 4 P 0 2000000 2000000 A 2024-06-03 2025-06-03 Common Stock 800000 19239703 I see footnote The$2,000,000 Senior Secured Convertible Note bears interest at 25% and is subject to a 19.99% blocker. The Reporting Person beneficially owns an aggregate $19,239,703 principal amount Senior Secured Convertible Notes. Through S.hield Cap1tal Funding LLC. /s/ Shannon Ralston 2024-06-04