SEC Form 5 · accession 0001615774-15-003321
ANAVEX LIFE SCIENCES CORP. · AVXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher U Missling
Officer — Pres, CEO, CFO, Treas, Secy. · Director
Period of report
Sep 30, 2015
Accepted (ET)
Nov 16, 2015 · 4:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001314052
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 optionF3,F1 | $0.92 | Apr 2, 2015 | A | 500,000 | A | — | Apr 2, 2025 | Common Stock | 500,000 | 500,000 | D |
| Stock optionF3,F2 | $5.04 | Sep 18, 2015 | A | 187,500 | A | — | Sep 18, 2025 | Common Stock | 187,500 | 187,500 | D |
Explanation of responses
- F1Represents stock option granted under Issuer's 2007 Stock Option Plan to vest in three equal installments on April 2, 2015, April 2, 2016 and April 2, 2017.
- F2Represents stock option granted under Issuer's 2015 Omnibus Incentive Plan to vest over a three year period commencing September 30, 2015 and ending June 30, 2018.
- F3On October 7, 2015, the Issuer effected a reverse stock split at a ratio of 1 to 4. The numbers herein are shown on post-split basis.