# EDGAR Filing Document

**Accession Number:** 0000921114
**File Stem:** 0001104659-23-011714
**Filing Date:** 2023-2
**Character Count:** 5849
**Document Hash:** 17a018d4cc235aba49b653b28a3db575
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-011714.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0001104659-23-011714

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20220701

**FILED AS OF DATE**: 20230207

**DATE AS OF CHANGE**: 20230207

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Butler Erin
- **CENTRAL INDEX KEY:** 0001940413

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37544
- **FILM NUMBER:** 23594986

**MAIL ADDRESS:**
- **STREET 1:** 4375 LOMA RIVIERA COURT
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92110
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Armata Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0000921114
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 911549568
- **STATE OF INCORPORATION:** WA
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 4503 GLENCOE AVENUE
- **CITY:** MARINA DEL REY
- **STATE:** CA
- **ZIP:** 90292
- **BUSINESS PHONE:** 310-665-2928

**MAIL ADDRESS:**
- **STREET 1:** 4503 GLENCOE AVENUE
- **CITY:** MARINA DEL REY
- **STATE:** CA
- **ZIP:** 90292

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AmpliPhi Biosciences Corp
- **DATE OF NAME CHANGE:** 20130222

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TARGETED GENETICS CORP /WA/
- **DATE OF NAME CHANGE:** 19940331

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] 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**<sup>*</sup><br>Butler Erin<br><sub>(Last) (First) (Middle)</sub><br>4503 GLENCOE AVENUE<br><sub>(Street)</sub><br>MARINA DEL REY, CA 90292<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Armata Pharmaceuticals, Inc. [ ARMP ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2022-07-01 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Vice President,Finance & Admin_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | <sup>(1)</sup> | 2027-09-17 | Common Stock | 714 | $14.28 | D |  |
| Stock Option (Right to Buy) | <sup>(2)</sup> | 2029-05-22 | Common Stock | 15000 | $3.15 | D |  |
| Stock Option (Right to Buy) | <sup>(3)</sup> | 2031-03-24 | Common Stock | 30000 | $5.14 | D |  |
| Stock Option (Right to Buy) | <sup>(4)</sup> | 2032-04-12 | Common Stock | 50000 | $5.11 | D |  |

---

### Footnotes:

(1) Reflects the grant of stock options to purchase shares of common stock of the Issuer under the Issuer's 2016 Equity Incentive Plan (the "2016 EIP"). All 714 stock options are fully vested and exercisable.

(2) Reflects the grant of stock options to purchase shares of common stock of the Issuer under the 2016 EIP. 11,250 of the stock options are fully vested and exercisable. 3,750 of the stock options will vest on May 22, 2023.

(3) Reflects the grant of stock options to purchase shares of common stock of the Issuer under the 2016 EIP. 7,500 of the stock options are fully vested and exercisable. 7,500 of the stock options will vest on March 25, 2023, 7,500 of the stock options will vest on March 25, 2024, and 7,500 of the stock options will vest on March 25, 2025.

(4) Reflects the grant of stock options to purchase shares of common stock of the Issuer under the 2016 EIP. None of the stock options have fully vested and become exercisable. 12,500 of the stock options will vest on April 13, 2023, 12,500 of the stock options will vest on April 13, 2024, 12,500 of the stock options will vest on April 13, 2025, and 12,500 of the stock options will vest on April 13, 2026.

**Signature:** /s/ Erin Butler  
**Date:** 2023-02-07

### Remarks:

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.**