SEC Form 4 · accession 0001638599-18-001351
OURPETS CO · OPCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Konstantine S Tsengas
Officer — VP-Operations and Secretary
Period of report
Dec 31, 2018
Accepted (ET)
Dec 31, 2018 · 3:45 pm EST
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 | holding | — | — | — | 74,409 | I | By children | |
| Common Stock | holding | — | — | — | 6,840 | I | By Partnership | |
| Common Stock | holding | — | — | — | 922,903 | D | ||
| Common Stock | holding | — | — | — | 847,903 | D | ||
| Common Stock | holding | — | — | — | 997,903 | D | ||
| Common Stock | holding | — | — | — | 949,570 | D | ||
| Common Stock | holding | — | — | — | 7,362 | I | By Partnership | |
| Common StockF2 | holding | — | — | — | 16,497 | I | By Partnership | |
| Common StockF3 | holding | — | — | — | 34,497 | I | By Partnership | |
| Common StockF4 | holding | — | — | — | 34,886 | I | By Partnership | |
| Common StockF4 | holding | — | — | — | 38,097 | I | By Partnership | |
| Common StockF4 | holding | — | — | — | 38,199 | I | By Partnership | |
| Common StockF4 | holding | — | — | — | 38,379 | I | By Partnership | |
| Common StockF4 | holding | — | — | — | 39,279 | I | By Partnership | |
| Common StockF4 | holding | — | — | — | 42,957 | I | By Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF6,F5 | $0.79 | Jun 6, 2018 | A | 50,000 | D | Jun 6, 2020 | Jun 6, 2023 | Common | 50,000 | 0 | D |
| Option | $0.375 | holding | — | — | — | Dec 4, 2001 | Dec 4, 2004 | Common | 150,000 | 0 | D |
| Warrant | $0.97 | holding | — | — | — | Dec 14, 1999 | Dec 14, 2005 | Common | 5,155 | 0 | D |
| Warrant | $0.97 | holding | — | — | — | Dec 14, 1999 | Dec 14, 2005 | Common | 37,113 | 0 | I |
| Warrant | $0.97 | holding | — | — | — | Dec 14, 1999 | Dec 14, 2005 | Common | 10,309 | 0 | I |
| OptionF1 | $0.29 | holding | — | — | — | Oct 1, 2006 | Oct 1, 2014 | Common | 150,000 | 0 | D |
| Warrant | $0.4926 | holding | — | — | — | Nov 8, 2012 | Nov 8, 2017 | Common | 9,135 | 0 | I |
Explanation of responses
- F1Shares were acquired through cashless exercise of options originally granted October 1, 2004
- F2Shares were acquired through exercise of warrants granted to Partnership on November 8, 2012 b
- F3Shares were acquired through conversion of Preferred Stock originally purchased by Partnership on January 28, 2010. Conversion rate was 10 Common shares for every 1 Preferred Share.
- F4Shares were acquired by SENK Properties of which Konstantine Tsengas owns 18%.
- F5Options vest 1/3 on each of the 2nd, 3rd and 4th anniversaries of grant date.
- F6Voluntary Cancellation