SEC Form 4 · accession 0001443197-18-000001
INTEGRATED BIOPHARMA INC · INBP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CD Financial, LLC
10% Owner
Period of report
Jul 31, 2018
Accepted (ET)
Aug 1, 2018 · 5:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001016504
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 31, 2018 | J | 8,230,769 | $0.65 | A | 10,524,173 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 6% secured convertible note due 2020, as amendedF1,F2 | $0.65 | Jul 24, 2018 | C | — | D | Jun 27, 2012 | Feb 20, 2020 | Common Stock | 8,230,769 | 0 | D |
Explanation of responses
- F1Common stock issued to the Reporting Person as the result of Reporting Person exercising the conversion right under the amended and restated convertible subordinated debt of $5.3 million held by the Reporting Person.
- F2On July 31, 2018, the Issuer issued 8,230,769 shares upon the receipt of a conversion notice from the Reporting Person settling the 6% secured convertible note in full.