UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Stock | 06/30/2015 | Â (1) | Common Stock | 48,000 | $ 0 | D | Â |
A-Warrants | 06/30/2015 | 06/29/2021 | Common Stock | 36,000 | $ 2.75 | D | Â |
B-Warrants | Â (2) | Â (2) | Common Stock | 36,000 | $ 2.75 | D | Â |
Series B Convertible Preferred Stock | 06/01/2017 | Â (3) | Common Stock | 26,000 | $ 0 | D | Â |
B-Warrants | 06/01/2017 | 06/01/2023 | Common Stock | 39,000 | $ 2.75 | D | Â |
Common Stock Option | 06/26/2019(4) | 06/26/2024 | Common Stock | 50,000 | $ 2.9 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
von Jako Christopher Richard 7 CHARING CROSS LYNNFIELD, MA 01940 |
 |  |  Chief Executive Officer |  |
/s/ Christopher R. von Jako, Ph.D. | 06/27/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The Series A Preferred Stock has no expiration date. |
(2) | The B-Warrants are exercisable any time after the date that the holder has purchased all of the shares of Common Stock underlying the A-Warrants issued to the holder and on or prior to the close of business on the six-year anniversary of such date. |
(3) | The Series B Preferred Stock has no expiration date. |
(4) | Options vest and become exercisable with respect to 25% of the option shares on each of the first, second, third and fourth anniversaries of the grant date. |