SEC Form 4 · accession 0001638599-16-001396
OURPETS CO · OPCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Tsengas
Officer — CEO · Director · 10% Owner
Period of report
Sep 6, 2016
Accepted (ET)
Sep 8, 2016 · 5:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094139
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 6, 2016 | P | 5,500 | $0.87 | A | 3,479,155 | D | |
| Common Stock | Sep 6, 2016 | P | 4,500 | $0.8699 | A | 3,483,655 | D | |
| Common Stock | Sep 6, 2016 | P | 1,508 | $0.8599 | A | 45,612 | I | By Partnership |
| Common Stock | holding | — | — | — | 772,712 | I | By Spouse | |
| Common Stock | holding | — | — | — | 100,000 | I | Custodian UGM | |
| Common Stock | holding | — | — | — | 3,062,885 | D | ||
| Common Stock | holding | — | — | — | 30,065 | I | By Partnership | |
| Common Stock | holding | — | — | — | 44,104 | I | By Partnership | |
| Common StockF2 | holding | — | — | — | 2,987,885 | D | ||
| Common StockF3 | holding | — | — | — | 3,287,885 | D | ||
| Common StockF3 | holding | — | — | — | 3,192,430 | D | ||
| Common StockF4 | holding | — | — | — | 3,549,798 | D | ||
| Common StockF4 | holding | — | — | — | 3,373,655 | D | ||
| Common StockF5 | holding | — | — | — | 3,573,655 | D | ||
| Common Stock | holding | — | — | — | 3,473,655 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $0.6794 | holding | — | — | — | Aug 2, 2006 | Aug 2, 2013 | Common | 257,560 | 257,560 | D |
| Preferred StockF1 | $0.70 | holding | — | — | — | Jan 28, 2010 | — | Common | 100,000 | 10,000 | I |
| Warrant | $0.7999 | holding | — | — | — | Jun 28, 2010 | Jun 28, 2015 | Common | 28,480 | 28,480 | D |
| Warrant | $0.8448 | holding | — | — | — | Jul 16, 2010 | Jul 16, 2015 | Common | 63,290 | 63,290 | D |
| Warrant | $0.9678 | holding | — | — | — | Oct 18, 2010 | Oct 18, 2015 | Common | 63,290 | 63,290 | D |
| Warrant | $0.50 | holding | — | — | — | Nov 8, 2012 | Nov 8, 2017 | Common | 50,000 | 50,000 | I |
| Warrant | $0.42 | holding | — | — | — | Dec 7, 2012 | Dec 7, 2017 | Common | 375,000 | 375,000 | D |
| Option | $0.495 | holding | — | — | — | Jun 20, 2008 | Jun 20, 2013 | Common | 300,000 | 0 | D |
| Warrant | $0.4898 | holding | — | — | — | Jun 20, 2008 | Jun 20, 2013 | Common | 5,105 | 0 | I |
| Warrant | $0.4898 | holding | — | — | — | Jun 20, 2008 | Jun 20, 2013 | Common | 14,039 | 0 | I |
| Warrant | $0.55 | holding | — | — | — | Oct 10, 2013 | Oct 10, 2018 | Common | 125,000 | 125,000 | D |
| OptionF3 | $0.35 | holding | — | — | — | Apr 28, 2006 | Apr 28, 2014 | Common | 0 | 0 | D |
| Warrant | $0.4436 | holding | — | — | — | Sep 17, 2009 | Sep 17, 2014 | Common | 357,368 | 0 | D |
| OptionF5 | $0.29 | holding | — | — | — | Oct 1, 2006 | Oct 1, 2014 | Common | 200,000 | 0 | D |
Explanation of responses
- F1Conversion of Preferred Stock into Common Stock has no expiration date.
- F2Mr. Tsengas does not have a pecuniary interest in and is not a beneficial owner of the shares held by the Tsengas Foundation, an Ohio non-profit corporation, which is a tax-exempt, charitable foundation. The shares held by the foundation have been excluded from the amount of securities.
- F3Shares were acquired through cashless exercise of options originally granted April 28, 2004
- F4Shares were acquired through cashless exercise of warrants originally granted September 17,2009
- F5Shares were acquired through issuance of options originally granted October 1, 2004