RALSTON SHANNON

PrivateCIK: 2023708

Location

HOUSTON, TX

RALSTON SHANNON

Filed: 5/22/2024ACC: 0001104659-24-064324

InsiderRALSTON SHANNONCIK 2023708

→

IssuerKIROMIC BIOPHARMA, INC.CIK 1792581

10% Owner

Since May 2024

0.00

Baseline shares

0.00

Direct ownership

0 positions

11.24M

Derivative underlying

10 instruments

0

Security positions

All direct

Non-Derivative Holdings0

No non-derivative holdings reported

Derivative Holdings10

Series C Convertible Voting Preferred Stock

Indirect

Underlying security

Common Stock

Underlying shares

2.78M

Shares owned

N/A

Exercise price

6.50

Expiration

—

Exercise window

—

$2,400,000 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

556.33K

Shares owned

N/A

Exercise price

5.00

Expiration

—

Exercise window

—

$2,400,000 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

451.54K

Shares owned

N/A

Exercise price

6.50

Expiration

—

Exercise window

—

$2,400,000 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

567.26K

Shares owned

N/A

Exercise price

5.00

Expiration

—

Exercise window

—

$2,000,000 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

808.33K

Shares owned

N/A

Exercise price

2.50

Expiration

—

Exercise window

—

$1,239,703 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

280.89K

Shares owned

N/A

Exercise price

4.414

Expiration

—

Exercise window

—

$2,400,000 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

444.05K

Shares owned

N/A

Exercise price

6.50

Expiration

—

Exercise window

—

$2,000,000 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

823.89K

Shares owned

N/A

Exercise price

2.50

Expiration

—

Exercise window

—

Series D Convertible Voting Preferred Stock

Indirect

Underlying security

Common Stock

Underlying shares

3.44M

Shares owned

N/A

Exercise price

2.50

Expiration

—

Exercise window

—

$2,400,000 Senior Secured Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

1.09M

Shares owned

N/A

Exercise price

2.50

Expiration

—

Exercise window

—

Total

Underlying

11.24M

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Series C Convertible Voting Preferred Stock Indirect	Common Stock	6.50	—	—	2.78M	N/A
$2,400,000 Senior Secured Convertible Note Indirect	Common Stock	5.00	—	—	556.33K	N/A
$2,400,000 Senior Secured Convertible Note Indirect	Common Stock	6.50	—	—	451.54K	N/A
$2,400,000 Senior Secured Convertible Note Indirect	Common Stock	5.00	—	—	567.26K	N/A
$2,000,000 Senior Secured Convertible Note Indirect	Common Stock	2.50	—	—	808.33K	N/A
$1,239,703 Senior Secured Convertible Note Indirect	Common Stock	4.414	—	—	280.89K	N/A
$2,400,000 Senior Secured Convertible Note Indirect	Common Stock	6.50	—	—	444.05K	N/A
$2,000,000 Senior Secured Convertible Note Indirect	Common Stock	2.50	—	—	823.89K	N/A
Series D Convertible Voting Preferred Stock Indirect	Common Stock	2.50	—	—	3.44M	N/A
$2,400,000 Senior Secured Convertible Note Indirect	Common Stock	2.50	—	—	1.09M	N/A
Total					11.24M	0.00

RALSTON SHANNON — Initial Ownership Disclosure (Form 3) Filed May 22, 2024 | Finecho