0001493152-20-005838.txt : 20200403 0001493152-20-005838.hdr.sgml : 20200403 20200403205941 ACCESSION NUMBER: 0001493152-20-005838 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: Dyrness Albert D. CENTRAL INDEX KEY: 0001664801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35570 FILM NUMBER: 20775574 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 0001664801 Dyrness Albert D. 100 OVERLOOK CENTER, SUITE 102 PRINCETON, NJ 08540 1 0 0 0 Common Stock 2020-04-01 4 A 0 2557 A 2557 D Warrant to Purchase Common Stock 29.32 2020-04-01 4 A 0 1279 A 2020-04-01 2022-12-03 Common Stock 1279 1279 D 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. Prior to the merger, Reporting Person held warrants to purchase 12,000 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 1,279 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