SEC Form 4 · accession 0001493152-16-016103
HARROW, INC. · HROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew R. Boll
Officer — Chief Financial Officer
Period of report
Dec 19, 2016
Accepted (ET)
Dec 21, 2016 · 4:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001360214
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 19, 2016 | P | 39,000 | $1.79 | A | 54,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Purchase WarrantF2 | $1.79 | Dec 19, 2016 | P | 39,000 | A | Jun 23, 2016 | Dec 23, 2019 | Common Stock | 39,000 | 39,000 | D |
Explanation of responses
- F1On December 19, 2016, Mr. Boll entered into a definitive agreement to acquire 39,000 Units of Imprimis Pharmaceuticals, Inc.'s (the "Company"), with each Unit consisting of one share of common stock, and a warrant to purchase one share of the Company's common stock, as part of a private placement by the Company to accredited investors.
- F2The value of the Purchase Warrant included in each Unit is $0.125.