SEC Form 4 · accession 0001140361-19-004276
Opus Genetics, Inc. · IRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Nolan
Officer — Chief Business Officer
Period of report
Feb 28, 2019
Accepted (ET)
Mar 1, 2019 · 5:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001228627
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 28, 2019 | M | 1,625 | $0.00 | A | 23,250 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Feb 28, 2019 | M | 1,625 | D | — | — | Common Stock | 1,625 | 3,250 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.
- F2On January 20, 2017, the reporting person was granted 6,500 RSUs, of which 1,625 vested on February 28, 2018 and 1,625 vested on February 28, 2019. The remaining RSUs will vest in two equal annual installments on the last business day in February, beginning February 28, 2020.