SEC Form 4 · accession 0001493152-17-004611
HARROW, INC. · HROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Lindstrom M.D.
Director
Period of report
Apr 27, 2017
Accepted (ET)
May 1, 2017 · 4:34 pm EDT
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 StockF1 | Apr 27, 2017 | X | 100,000 | $1.79 | A | 100,000 | I | See Footnote |
| Common Stock | holding | — | — | — | 100,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Purchase WarrantF1,F2 | $1.79 | Apr 27, 2017 | G | 100,000 | D | Apr 27, 2017 | Dec 27, 2019 | Common Stock | 100,000 | 0 | D |
| Purchase WarrantF1,F2 | $1.79 | Apr 27, 2017 | G | 100,000 | A | Apr 27, 2017 | Dec 27, 2019 | Common Stock | 100,000 | 100,000 | I |
| Purchase WarrantF1,F2 | $1.79 | Apr 27, 2017 | X | 100,000 | D | Apr 27, 2017 | Dec 27, 2019 | Common Stock | 100,000 | 0 | I |
Explanation of responses
- F1Represents a contribution to the Lindstrom Family Limited Partnership No 2, a limited partnership of which the reporting person is the 100% owner and sole general partner.
- F2The non-exercisable period for the Purchase Warrant was waived by the Company in exchange for cash exercise, the original date the warrant became exercisable was June 27, 2017.