SEC Form 4 · accession 0001615774-18-001625
CALMARE THERAPEUTICS Inc · CTTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter F Brennan
Director
Period of report
Feb 12, 2018
Accepted (ET)
Mar 6, 2018 · 1:08 pm EST
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,F2,F3,F4,F5 | Feb 12, 2018 | M | 4,594,117 | — | A | 13,850,181 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1 | $0.60 | Feb 12, 2018 | C | 123,530 | A | — | — | Common Stock | 123,530 | 123,530 | D |
| WarrantF2 | $0.60 | Feb 12, 2018 | C | 411,765 | A | — | — | Common Stock | 411,765 | 535,295 | D |
| WarrantF3 | $0.13 | Feb 12, 2018 | C | 764,706 | A | — | — | Common Stock | 764,706 | 1,300,001 | D |
| WarrantF4 | $0.13 | Feb 12, 2018 | C | 1,882,362 | A | — | — | Common Stock | 1,882,362 | 3,182,353 | D |
| WarrantF5 | $0.125 | Feb 12, 2018 | C | 1,411,765 | A | — | — | Common Stock | 1,411,765 | 4,594,117 | D |
Explanation of responses
- F1The Reporting Person received a warrant to purchase 123,530 shares of Common Stock on 02/23/2017 inconnection with a Note Purchase Agreement executed on that date. The exercise price was $0.60 per share. The warrant was exercisable immediately and expired in one year-02/23/2018.
- F2The Reporting Person received a warrant to purchase 411,765 shares of Common Stock on 05/16/2017 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.60 per share. The warrant was exercisable immediately and expired in one year-05/16/2018.
- F3The Reporting Person received a warrant to purchase 764,706 shares of Common Stock on 07/24/2017 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.13 per share. The warrant was exercisable immediately and expired in one year - 07/24/2018.
- F4The Reporting Person received a warrant to purchase 1,882,352 shares of Common Stock on 12/29/2017 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.13 per share. The warrant was exercisable immediately and expired in one year-12/29/2018.
- F5The Reporting Person received a warrant to purchase 1,411,765 shares of Common Stock on 02/01/2018 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.125 per share. The warrant was exercisable immediately and expired in one year- 02/01/2019.