0001144204-17-031582.txt : 20170607 0001144204-17-031582.hdr.sgml : 20170607 20170607174324 ACCESSION NUMBER: 0001144204-17-031582 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20170607 DATE AS OF CHANGE: 20170607 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: 0312 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fortress Biotech, Inc. CENTRAL INDEX KEY: 0001429260 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55668 FILM NUMBER: 17898182 BUSINESS ADDRESS: STREET 1: 2 GANSEVOORT STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 781-652-4500 MAIL ADDRESS: STREET 1: 2 GANSEVOORT STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 FORMER NAME: FORMER CONFORMED NAME: CORONADO BIOSCIENCES INC DATE OF NAME CHANGE: 20080310 4 1 v467961_form4.xml FORM 4 X0306 4 2016-09-30 0 0001680048 MUSTANG BIO, INC. NONE 0001429260 Fortress Biotech, Inc. 2 GANSEVOORT STREET 9TH FLOOR NEW YORK NY 10014 0 0 1 0 Common Stock, $0.0001 par value 2016-09-30 4 A 0 47870 0.00 A 9047870 D Common Stock, $0.0001 par value 2016-10-25 4 A 0 27264 0.00 A 9075134 D Common Stock, $0.0001 par value 2016-11-30 4 A 0 47505 0.00 A 9122639 D Common Stock, $0.0001 par value 2016-12-12 4 A 0 11925 0.00 A 9134564 D Common Stock, $0.0001 par value 2016-12-29 4 A 0 15806 0.00 A 9150370 D Common Stock, $0.0001 par value 2017-01-31 4 A 0 213419 0.00 A 9363789 D Common Stock, $0.0001 par value 2017-03-13 4 A 0 767264 0.00 A 10131053 D Common Stock, $0.0001 par value 2017-03-31 4 A 0 1600 0.00 A 10132653 D Class A Preferred Stock, $0.0001 par value Common Stock 250000 250000 D The Issuer is required to grant to the Reporting Person an equity fee in shares of the Issuer's Common Stock equal to 2.5% of the gross amount of any debt or equity financing consummated by the Issuer. These shares were granted by the Issuer to the Reporting Person following the closing of an equity financing. The Reporting Person is entitled to an annual dividend on its outstanding Class A Preferred Stock equal to 2.5% of the Issuer's fully diluted outstanding capitalization on March 13. These shares were granted by the Issuer to the Reporting Person for the 2017 annual dividend. Each share of the Issuer's Class A Preferred Stock is convertible at any time at the option of the Reporting Person into one share of the Issuer's Common Stock and has no expiration date. /s/ Lindsay A. Rosenwald, Chairman, President and Chief Executive Officer 2017-06-07