SEC Form 4 · accession 0001144204-15-007169
Alliqua BioMedical, Inc. · ALQA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian M Posner
Officer — Chief Financial Officer
Period of report
Feb 6, 2015
Accepted (ET)
Feb 9, 2015 · 5:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001054274
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 6, 2015 | A | 100,000 | $0.00 | A | 107,640 | 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 | $6.23 | Feb 6, 2015 | A | 115,000 | A | — | Feb 6, 2025 | Common Stock | 115,000 | 115,000 | D |
Explanation of responses
- F1Represents a restricted stock award that is subject to forfeiture until vested. This award vests in three equal annual installments, with one-third (1/3rd) vesting on each of February 6, 2016, February 6, 2017 and February 6, 2018, subject to the terms and conditions of the Alliqua BioMedical, Inc. 2014 Long-Term Incentive Plan and that certain restricted stock award agreement by and between the Issuer and Mr. Posner, effective as of February 6, 2015.
- F2The option vests in three equal annual installments, with one-third (1/3rd) vesting and becoming exercisable on each of February 6, 2016, February 6, 2017 and February 6, 2018, subject to the terms and conditions of the Alliqua BioMedical, Inc. 2014 Long-Term Incentive Plan and Mr. Posner's continued service on the applicable vesting date.