SEC Form 4 · accession 0001415889-17-000472
Echo Therapeutics, Inc. · ECTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Wayne Schoenbart
Officer — CEO, CFO AND SECRETARY · Director
Period of report
Mar 21, 2017
Accepted (ET)
Mar 22, 2017 · 3:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001031927
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01F1 | Mar 21, 2017 | A | 100,000 | $0.00 | A | 174,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $0.16 | Mar 21, 2017 | A | 500,000 | A | Mar 21, 2017 | Mar 21, 2027 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1Restricted shares granted pursuant to the Issuer's 2008 Equity Incentive Plan which vest in full on the date of grant.
- F2Granted pursuant to the Issuer's 2008 Equity Incentive Plan.