SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
CHOW HERBERT S.

(Last) (First) (Middle)
C/O STELLAR BIOTECHNOLOGIES, INC.
332 EAST SCOTT STREET

(Street)
PORT HUENEME CA 93041

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/01/2014
3. Issuer Name and Ticker or Trading Symbol
Stellar Biotechnologies, Inc. [ SBOTF ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Technology Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
09/25/2014
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants 05/03/2013(1) 01/04/2016 Common Shares 38,400 0.4025(2) D
Explanation of Responses:
1. The purpose of this amendment is to correct the date exercisable of the warrants held by the reporting person included on Table II, Column 2, as reported on Form 3 filed on behalf of the reporting person on September 25, 2014. In that filing, the date exercisable of the warrant was incorrectly listed as January 2, 2013. The correct date exercisable for the warrants is May 3, 2013.
2. The warrants are exercisable at a price of C$0.40. The US dollar price reported on this Form 3 in column 4 reflects the US dollar equivalent exercise price on the grant date, calculated at the closing price for cable transfers in Canadian dollars as reported by Yahoo Finance on such date of U.S.$1.00 = CDN$0.9939.
/s/ Kathi Niffenegger, as Attorney in Fact 10/03/2014
** 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 5 (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.
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