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