A Rosenwald Lindsay Md Buys $266K of Mustang BIO Inc (MBIO) — SEC Form 4, Dec 22, 2020

This is an amended filing (Form 4/A) — it supersedes the original filed December 15, 2020.

Open-Market Net Purchase · SEC Form 4

+$266,000

Equity position changed by +99.9%

Reporting Owner

A Rosenwald Lindsay Md

Director

TXN 2020-12-14 · FILED 2020-12-22

Equity Position 202K sh 101,254 → 202,436

Equity Change +99.9% shares held after vs before

Filing Lag 6 business days late vs 2-day SEC deadline

Form 4 · Statement of Changes in Beneficial Ownership

Mustang BIO Inc

MBIO CIK 0001680048

Reporting Owner

Name	Relationship
A Rosenwald Lindsay Md CIK 0000941841	Director

A Rosenwald Lindsay Md at Mustang BIO Inc Full insider history

Bought (12 mo) —

Sold (12 mo) —

More from this insider at Mustang BIO Inc

Non-Derivative Securities Transactions

Title	Date	Type	Shares	Price	Net Total	Post-Txn	Ownership
COMMON STOCKF1 F2	2020-08-31	A - Award/Grant	1,182 A	$2.48	+$2,931	102,436	Direct
COMMON STOCKF3 F2 F4	2020-12-14	P - Purchase	100,000 A	$2.66	+$266,000	202,436	Direct

Footnotes (4)

F1: These shares were acquired under the Mustang Bio, Inc. Employee Share Purchase Plan ("ESPP") for the ESPP purchase period beginning on March 1, 2020 and ending on August 31, 2020 in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). In accordance with the terms of the ESPP, these shares were purchased at a price equal to 85% of the fair market value closing price of the Issuer's ordinary shares on February 28, 2020 (the purchase date of the offering period). Show more
F2: Includes restricted share units, which vest over various time periods. Show more
F3: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on December 14, 2020, was $2.59 to $2.73. The Reporting Person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the Issuer, or a shareholder of the Issuer, full information regarding the number of shares sold at each separate price. Show more
F4: 1,183 ESPP shares were inadvertently omitted from Dr. Rosenwald's original Form 4 filed on December 15, 2020. Show more

Institutional Holders

Largest by reported value

5%+ Holders · 13D/G 1 filer

Latest Schedule 13D/G per filer; stakes the filer reported closed are left out.

Other insiders at Mustang BIO Inc

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