SEC Form 4 · accession 0001102624-16-003743
AEOLUS PHARMACEUTICALS, INC. · AOLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L McManus
Officer — President and CEO
Period of report
Mar 4, 2016
Accepted (ET)
Dec 30, 2016 · 4:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001261734
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 28, 2016 | A | 25,000 | $0.15 | A | 3,767,047 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1 | $0.1855 | Mar 4, 2016 | A | 250,000 | A | Mar 4, 2017 | Mar 4, 2026 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1Option will vest in equal monthly installments over a period of twelve months from the date of grant, provided that the reporting person remains an employee of the company.