SEC Form 4 · accession 0000932440-15-000034
AGILE THERAPEUTICS INC · AGRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Jay Moorin
10% Owner
Alain Schreiber
10% Owner
ProQuest Investments III, L.P.
10% Owner
ProQuest Associates III LLC
10% Owner
ProQuest Investments IV, L.P.
10% Owner
ProQuest Associates IV LLC
10% Owner
Period of report
Jan 23, 2015
Accepted (ET)
Jan 23, 2015 · 4:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001261249
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 23, 2015 | P | 811,966 | $5.85 | A | 4,668,663 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock options (right to buy)F3,F2 | $6.00 | holding | — | — | — | — | May 21, 2024 | Common Stock | 21,000 | 21,000 | I |
Explanation of responses
- F1Of such shares, 3,103,488 are owned by ProQuest Investments III, L.P. ("Investments III"), of which ProQuest Associates III LLC ("Associates III") is the general partner, and 1,565,175 are owned by ProQuest Investments IV, L.P., ("Investments IV"), of which ProQuest Associates IV LLC ("Associates IV") is the general partner. Jay Moorin and Alain Schreiber are managing members of Associates III and Associates IV. Each individual managing member disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest in such shares.
- F2One-third of such options will vest on May 22 of each of 2015, 2016 and 2017.
- F3Such options are held by ProQuest Management, L.L.C., of which Messrs. Moorin and Schreiber are managing members.Each individual managing member disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest in such shares.