0001104659-20-138584.txt : 20201222
0001104659-20-138584.hdr.sgml : 20201222
20201222162129
ACCESSION NUMBER: 0001104659-20-138584
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200831
FILED AS OF DATE: 20201222
DATE AS OF CHANGE: 20201222
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROSENWALD LINDSAY A MD
CENTRAL INDEX KEY: 0000941841
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38191
FILM NUMBER: 201408199
MAIL ADDRESS:
STREET 1: 375 PARK AVE
CITY: NEW YORK
STATE: NY
ZIP: 10152
FORMER NAME:
FORMER CONFORMED NAME: ROSENWALD LINDSAY MD
DATE OF NAME CHANGE: 19950316
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MUSTANG BIO, INC.
CENTRAL INDEX KEY: 0001680048
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 473828760
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2 GANSEVOORT STREET
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10014
BUSINESS PHONE: 7816524507
MAIL ADDRESS:
STREET 1: 2 GANSEVOORT STREET
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10014
4/A
1
tm2039180-3_4a.xml
FORM 4/A
X0306
4/A
2020-08-31
2020-12-15
0
0001680048
MUSTANG BIO, INC.
MBIO
0000941841
ROSENWALD LINDSAY A MD
377 PLANTATION STREET
WORCESTER
MA
01605
1
0
0
0
COMMON STOCK
2020-08-31
4
A
0
1182
2.48
A
102436
D
COMMON STOCK
2020-12-14
4
P
0
100000
2.66
A
202436
D
These shares were acquired under the Mustang Bio, Inc. Employee Share Purchase Plan ("ESPP") for the ESPP purchase period beginning on March 1, 2020 and ending on August 31, 2020 in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). In accordance with the terms of the ESPP, these shares were purchased at a price equal to 85% of the fair market value closing price of the Issuer's ordinary shares on February 28, 2020 (the purchase date of the offering period).
Includes restricted share units, which vest over various time periods.
Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on December 14, 2020, was $2.59 to $2.73. The Reporting Person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the Issuer, or a shareholder of the Issuer, full information regarding the number of shares sold at each separate price.
1,183 ESPP shares were inadvertently omitted from Dr. Rosenwald's original Form 4 filed on December 15, 2020.
/s/ Manuel Litchman, Attorney-in-Fact
2020-12-22