SEC Form 4 · accession 0001017491-17-000017
SEELOS THERAPEUTICS, INC. · SEEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Dorsey
Officer — SVP, Chief Development Officer
Period of report
Jan 5, 2017
Accepted (ET)
Jan 6, 2017 · 7:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001017491
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jan 5, 2017 | A | 75,000 | — | A | 105,189 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award of 75,000 Restricted Stock Units ("RSUs") under the Issuer's 2012 Stock Long Term Incentive Plan with half of the underlying shares vesting in the first open trading window following the Issuer's receipt of marketing approval of Vitaros in the United States by the Food and Drug Administration and the other half of the underlying shares fully vesting on November 30, 2018, subject to the Reporting Person's continued employment or service to the Issuer through such date and subject to accelerated vesting upon a change in control of the Issuer.
- F2Not applicable.