Form 4 Silverman Joshua

4 - Statement of changes in beneficial ownership of securities

Published: 2016-11-30 16:49:09
Submitted: 2016-11-30
Period Ending In: 2016-11-28
primary_doc.html PRIMARY DOCUMENT


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SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Silverman Joshua

(Last) (First) (Middle)
50 NORTH LAURA STREET, SUITE 2500

(Street)
JACKSONVILLE FL 32202

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
TAPIMMUNE INC [ TPIV ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/28/2016
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy)(1) $4.82 11/28/2016 A 12,500 (1) 11/27/2026 Common Stock 12,500 $0 12,500 D
Explanation of Responses:
1. Represents options granted in connection with appointment as a director of the Company on November 28, 2016 under the Company's 2014 Omnibus Stock Ownership Plan. These shares shall vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, November 28, 2016.
Mark A. Catchur, as Attorney-in-Fact for Joshua Silverman 11/30/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
primary_doc.xml PRIMARY DOCUMENT
Schema Version:
X0306
Document Type:
4
Period Of Report:
2016-11-28
Not Subject To Section16:
0

Issuer

Issuer Cik
0001094038
Issuer Name
TAPIMMUNE INC
Issuer Trading Symbol
TPIV

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001524858
Rpt Owner Name
Silverman Joshua

Reporting Owner Address

Rpt Owner Street1
50 NORTH LAURA STREET, SUITE 2500
Rpt Owner City
JACKSONVILLE
Rpt Owner State
FL
Rpt Owner Zip Code
32202

Reporting Owner Relationship

Is Director
1
Is Officer
0
Is Ten Percent Owner
0
Is Other
0

Derivative Transaction

Security Title

Value
Employee Stock Option (Right to Buy)
@attributes Id
F1
Conversion Or Exercise Price
4.82
Transaction Date
2016-11-28

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
12500
Transaction Price Per Share
0
Transaction Acquired Disposed Code
A
@attributes Id
F1
Expiration Date
2026-11-27

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
12500
Shares Owned Following Transaction
12500
Direct Or Indirect Ownership
D
Footnotes Footnote
Represents options granted in connection with appointment as a director of the Company on November 28, 2016 under the Company's 2014 Omnibus Stock Ownership Plan. These shares shall vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, November 28, 2016.

Owner Signature

Signature Name
Mark A. Catchur, as Attorney-in-Fact for Joshua Silverman
Signature Date
2016-11-30
Additional Files
FileSequenceDescriptionTypeSize
0001524858-16-000009.txt   Complete submission text file   5655
$TPIV

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