SEC Form 3 · accession 0001437749-16-023726
CervoMed Inc. · CRVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Randolph Jones
Officer — Chief Medical Officer
Period of report
Jan 8, 2016
Accepted (ET)
Jan 15, 2016 · 4:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001053691
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 382,557 | 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)F1 | $0.22 | holding | — | — | — | Sep 15, 2015 | Sep 15, 2022 | Common Stock | 365,265 | — | D |
| Stock Option (Right to Buy)F2 | $0.22 | holding | — | — | — | Sep 15, 2013 | Sep 15, 2022 | Common Stock | 986,217 | — | D |
Explanation of responses
- F1In connection with the consummation of the merger (the "Merger") of Diffusion Pharmaceuticals LLC ("Diffusion") and a wholly-owned subsidiary of the Issuer ("Merger Sub") on January 8, 2016, an option originally granted on September 15, 2012 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
- F2In connection with the consummation of the Merger, an option originally granted on September 15, 2012 to purchase membership units in Diffusion and was converted into an option to purchase common stock of the Issuer.