SEC Form 3 · accession 0001437749-16-038222
CervoMed Inc. · CRVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Isaac Blech
Director
Period of report
Aug 11, 2016
Accepted (ET)
Aug 30, 2016 · 4:34 pm EDT
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 | — | — | — | 28,334 | D | ||
| Common StockF1 | holding | — | — | — | 11,905 | I | By Spouse | |
| Common StockF1,F2 | holding | — | — | — | 154,763 | I | By Trusts |
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)F3 | $30.00 | holding | — | — | — | — | Jan 6, 2024 | Common Stock | 1,745 | — | D |
| Stock Option (Right to Buy)F4 | $39.20 | holding | — | — | — | — | Jul 23, 2024 | Common Stock | 8,745 | — | D |
| Warrant (Right to Buy)F5 | $380.00 | holding | — | — | — | — | Aug 20, 2017 | Common Stock | 5,000 | — | D |
| Warrant (Right to Buy)F5 | $48.00 | holding | — | — | — | — | Oct 21, 2018 | Common Stock | 7,500 | — | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F2Includes 11,905 shares owned by the River Charitable Remainder Unitrust f/b/o Isaac Blech, 71,429 shares owned by the West Charitable Remainder Trust and 71,429 shares owned by the Liberty Charitable Remainder Trust f/b/o Isaac Blech.
- F3The option was originally granted on January 7, 2014 and vested in full in accordance with the terms of the underlying option award agreement upon the completion of the Issuer's merger with Diffusion Pharmaceuticals LLC on January 8, 2016.
- F4The option was originally granted on July 24, 2014 and vested in full in accordance with the terms of the underlying option award agreement upon the completion of the Issuer's merger with Diffusion Pharmaceuticals LLC on January 8, 2016.
- F5Warrant is currently exercisable.