FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 09/13/2011 |
3. Issuer Name and Ticker or Trading Symbol
CORONADO BIOSCIENCES INC [ NONE ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $.001 per share | 2,047,632 | D | |
Common Stock, par value $.001 per share | 40,640 | I | By Capretti Grandi, LLC |
Common Stock, par value $.001 per share | 42,676 | I | By LAR Family Trusts |
Common Stock, par value $.001 per share | 71,303 | I | By Paramount Biosciences |
Common Stock, par value $.001 per share | 100,000 | I | By The Lindsay A. Rosenwald Rhode Island Irrevocable Trust U/T/A DTD 8-28-01 |
Common Stock, par value $.001 per share | 80,000 | I | By The Lindsay A. Rosenwald Alaska Irrevocable Trust U/T/A DTD 8-29-01 |
Common Stock, par value $.001 per share | 720,000 | I | By The Lindsay A. Rosenwald 2000 Irrevocable Trust U/T/A DTD 5-24-00 |
Common Stock, par value $.001 per share | 100,000 | I | By The Lindsay A. Rosenwald Nevada Irrevocable Indenture of Trust U/T/A DTD 8-29-01 |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options to purchase Common Stock | (1) | 10/05/2020 | Common Stock | 25,000 | $1.37 | D | |
Warrant to purchase Common Stock | 04/26/2010 | 01/22/2014 | Common Stock | 17,878 | $9.23 | I | By Paramount Biosciences, LLC |
Warrant to purchase Common Stock | 04/26/2010 | 05/28/2014 | Common Stock | 3,337 | $9.23 | I | By Pramount Biosciences, LLC |
Warrant to purchase Common Stock | 04/26/2010 | 06/25/2014 | Common Stock | 5,960 | $9.23 | I | By Paramount Biosciences, LLC |
Series A Convertible Preferred Stock | 04/26/2010 | (2) | Common Stock | 98,164 | $5.59 | D | |
Series A Convertible Preferred Stock | 04/26/2010 | (2) | Common Stock | 81,280 | $5.59 | I | By Capretti Grandi, LLC |
Series A Convertible Preferred Stock | 04/26/2010 | (2) | Common Stock | 142,607 | $5.59 | I | By Paramount Biosciences, LLC |
Series A Convertible Preferred Stock | 04/26/2010 | (2) | Common Stock | 85,353 | $5.59 | I | By LAR Family Trusts |
Series B Convertible Preferred Stock | 01/07/2011 | (2) | Common Stock | 82,536 | $5.59 | D | |
Series B Convertible Preferred Stock | 01/07/2011 | (2) | Common Stock | 49,063 | $5.59 | I | By Capretti Grandi, LLC |
Series B Convertible Preferred Stock | 01/07/2011 | (2) | Common Stock | 528,951 | $5.59 | I | By Paramount Biosciences, LLC |
Series B Convertible Preferred Stock | 01/07/2011 | (2) | Common Stock | 325,793 | $5.59 | I | By LAR Family Trusts |
Series C Convertible Preferred Stock | 05/31/2011 | (2) | Common Stock | 214,669 | $5.59 | D |
Explanation of Responses: |
1. One-third of the shares will vest on each of October 5, 2011, 2012 and 2013. |
2. Each share of Series A, B and C Convertible Preferred Stock shall be automatically converted into shares of Common Stock based on the then-effective conversion price immediately prior to the declaration or ordering of effectiveness of a resale registration filed by the issuer registering for resale by the holders thereof all of the Common Stock issuable upon conversion of the shares of Series A, B and C Convertible Preferred Stock. |
By: /s/ Lindsay A. Rosenwald | 09/13/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |