SEC Form 4 · accession 0001140361-16-049540
Opus Genetics, Inc. · IRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter David Suzdak
Officer — Chief Executive Officer · Director
Period of report
Jan 28, 2016
Accepted (ET)
Feb 1, 2016 · 4:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001228627
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.35 | Jan 28, 2016 | A | 411,689 | A | Jan 28, 2017 | Jan 28, 2026 | Common Stock | 411,689 | 411,689 | D |
| Stock Option (right to buy)F1 | $0.35 | Jan 28, 2016 | A | 1,000,000 | A | — | Jan 28, 2026 | Common Stock | 1,000,000 | 1,000,000 | D |
Explanation of responses
- F1One quarter of the option vests and becomes exercisable on January 28, 2017, and thereafter, 1/36th of the remaining option vests in equal installments on the first business day of each month following such date until fully vested.