SEC Form 4 · accession 0001144204-15-011502

KIORA PHARMACEUTICALS INC · KPRX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Feb 19, 2015

Accepted (ET)

Feb 23, 2015 · 5:39 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001372514

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Feb 19, 2015	C	576,564	—	A	576,564	I	See Footnote
Common Stock^F2	Feb 19, 2015	C	97,641	$4.20	A	674,205	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series D Preferred Stock^F2,F1	—	Feb 19, 2015	C	576,564	D	—	—	Common Stock	576,564	0	I
Convertible Promissory Note^F2	$4.20	Feb 19, 2015	P	—	A	Feb 19, 2015	Jun 6, 2015	Common Stock	97,641	—	I
Convertible Promissory Note^F2	$4.20	Feb 19, 2015	C	—	D	Feb 19, 2015	Jun 6, 2015	Common Stock	97,641	0	I

F1Upon closing of the Issuer's initial public offering, each share of Series D Preferred Stock converted automatically into shares of Common Stock of the Issuer on a 10.96-for-one basis, and had no expiration date.
F2Represents shares and warrants held by NPE Coinvest ("NC"). Natixis Private Equity ("NPE") owns 100% of NC. NPE disclaims beneficial ownership of these securities and this report shall not be deemed an admission that NPE is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.Voting and investment power over the shares held by NC may be deemed to be shared with NPE due to its parent relationship. Each of Dominique Sabassier ("Sabassier") and Cyrille Marcilhacy ("Marcilhacy ") are officers of NPE. Each of Sabassier and Marcilhacy disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interest therein.

*Signed under power of attorney on behalf of Reporting Person