SEC Form 4 · accession 0000899243-15-004888
IMMUNIC, INC. · IMUX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terence E. Winters
Officer — Co-Chairman and CEO · Director
Period of report
Sep 14, 2015
Accepted (ET)
Sep 16, 2015 · 4:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001280776
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 14, 2015 | M | 128,394 | $0.4284 | A | 190,566 | D | |
| Common Stock | holding | — | — | — | 119,964 | I | By trust |
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)F2 | $0.4284 | Sep 14, 2015 | M | 128,394 | D | — | Apr 1, 2022 | Common Stock | 128,394 | 0 | D |
Explanation of responses
- F1Excludes 119,964 shares previously owned directly by the reporting person which were contributed to the Winters Family Trust on February 13, 2015.
- F2This stock option was granted on April 1, 2012 and vests over four years. Subject to the reporting person continuing to provide services, one forty-eighth of the shares subject to the option vest one month after the vesting commencement date of February 8, 2012, and an additional one forty-eighth of the shares vest at the end of each monthly period thereafter. The option is subject to an early exercise provision and is immediately exercisable.