SEC Form 4 · accession 0001615774-15-001126
CALMARE THERAPEUTICS Inc · CTTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter F Brennan
Director · 10% Owner
Period of report
Jan 2, 2015
Accepted (ET)
May 19, 2015 · 1:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000102198
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 2, 2015 | A | 2,500 | $0.00 | A | 1,368,615 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2 | $0.17 | Jan 2, 2015 | A | 10,000 | A | Jan 2, 2015 | Jan 2, 2020 | Common stock, par value $0.01 per share | 10,000 | 2,419,981 | D |
Explanation of responses
- F1Peter Brennan is the beneficial owner of Damel Diversified LP, Peter Brennan, LISL Brennan 2005 Family Trust, LISL Brennan, Peter Brennan IRA, Julia T Brennan and Julia T Brennan IRA.
- F2Includes 40,000 stock options and the right to acquire an additional 2,379,981 shares upon conversion of $2,498,980 of convertible debt.