SEC Form 4 · accession 0001274877-16-000003
CurAegis Technologies, Inc. · CRGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathleen A Browne
Officer — CFO
Period of report
Sep 1, 2015
Accepted (ET)
Feb 24, 2016 · 1:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001063197
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $0.28 | Sep 1, 2015 | A | 25,000 | A | — | Sep 1, 2025 | Common Stock | 25,000 | 25,000 | D |
| Employee Stock Option (right to buy)F2 | $0.53 | Jan 14, 2016 | A | 25,000 | A | — | Jan 14, 2026 | Common Stock | 25,000 | 25,000 | D |
| Series C-3 Voting Convertible Preferred StockF3 | $0.25 | Feb 10, 2016 | P | 200,000 | A | — | — | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1These shares vest in four equal annual installments over a four year period from the date of grant.
- F2These shares become fully vested the first day the trading price of the Company shall be $5.00 or greater.
- F3The Series C-3 Voting Convertible Preferred Stock is convertible into common stock at any time on a one-for-one basis at the initial conversion price of $.25 per share and has no expiration date.