SEC Form 4 · accession 0001012975-15-000682
Aevi Genomic Medicine, Inc. · GNMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Isaac Blech
Director · 10% Owner
Period of report
Sep 21, 2015
Accepted (ET)
Sep 23, 2015 · 11:04 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001138776
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 21, 2015 | X | 230,357 | $4.10 | A | 1,875,828 | I | By Trust |
| Common Stock | Sep 21, 2015 | S | 94,825 | $9.96 | D | 1,781,003 | I | By Trust |
| Common Stock | holding | — | — | — | 21,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy) | $4.10 | Sep 21, 2015 | X | 230,357 | D | Sep 22, 2010 | Sep 22, 2015 | Common Stock | 230,357 | 0 | I |
Explanation of responses
- F1On September 21, 2015, the reporting person exercised a warrant to purchase 230,357 shares of Common Stock for $4.10 per share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 94,825 of the warrant shares to pay the exercise price and issuing to the reporting person of the remaining 135,532 shares.