SEC Form 4 · accession 0001140361-18-043286
Opus Genetics, Inc. · IRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas J Swirsky
Officer — President and CEO · Director
Period of report
Nov 14, 2018
Accepted (ET)
Nov 16, 2018 · 4:54 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)F1 | $1.09 | Nov 14, 2018 | A | 500,000 | A | — | Nov 14, 2028 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1One quarter of the option vests and becomes exercisable on November 14, 2019, 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.