SEC Form 4 · accession 0001123292-17-001401
Innovation Pharmaceuticals Inc. · IPIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur Peter Bertolino
Officer — Pres. & Chief Medical Officer
Period of report
Sep 1, 2017
Accepted (ET)
Sep 6, 2017 · 6:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001355250
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 1, 2017 | A | 1,066,667 | $0.00 | A | 1,871,254 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $0.71 | Sep 1, 2017 | A | 617,839 | A | — | Sep 1, 2027 | Class A Common Stock | 617,839 | 617,839 | D |
Explanation of responses
- F1Represents restricted stock which vests in two equal annual installments beginning on September 1, 2018 or upon the occurrence of certain events.
- F2The option vests in two equal annual installments on September 1, 2018 and 2019 or upon the occurrence of certain events.