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