0001424422-17-000011.txt : 20171127 0001424422-17-000011.hdr.sgml : 20171127 20171127170614 ACCESSION NUMBER: 0001424422-17-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171124 FILED AS OF DATE: 20171127 DATE AS OF CHANGE: 20171127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Morlock Stephen CENTRAL INDEX KEY: 0001637670 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37411 FILM NUMBER: 171223476 MAIL ADDRESS: STREET 1: 1505 ADAMS DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BioPharmX Corp CENTRAL INDEX KEY: 0001504167 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 593843182 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 1505 ADAMS DRIVE, SUITE D CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-889-5020 MAIL ADDRESS: STREET 1: 1505 ADAMS DRIVE, SUITE D CITY: MENLO PARK STATE: CA ZIP: 94025 FORMER COMPANY: FORMER CONFORMED NAME: THOMPSON DESIGNS INC DATE OF NAME CHANGE: 20101022 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-11-24 0 0001504167 BioPharmX Corp bpmx 0001637670 Morlock Stephen 1505 ADAMS DRIVE MENLO PARK CA 94025 1 0 0 0 Common stock 2017-11-24 4 P 0 330000 0.15 A 873956 D Common stock 251071 I By Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03 Warrant to purchase common stock 0.2 2017-11-24 4 P 0 330000 A Common stock 330000 330000 D Warrant to purchase common stock 0.25 2017-11-24 4 P 0 330000 A Common stock 330000 330000 D Securities are purchased as a unit, priced at $0.15 per unit, which consists of one share of common stock, one Series A warrant to purchase one share of common stock and one Series B warrant to purchase one share of common stock. Mr. Morlock is a co-trustee and co-beneficiary of the Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03 This Series A warrant is immediately exercisable and expires on 11/24/2022. This Series B warrant is immediately exercisable and expires on the earlier of (1) the 21st trading day after the Company issues a press release announcing it has entered into a strategic licensing, collaboration, partnership or similar agreement for the commitment to fund its phase 3 trials for BPX01 and (2) the 18 month anniversary of issuance. /s/ J. Goto, attorney-in-fact 2017-11-27