SEC Form 4 · accession 0001144204-15-011504

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 · 5:41 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
Common Stock^F1	Feb 19, 2015	C	506,563	—	A	506,563	D
Common Stock^F2	Feb 19, 2015	C	142,218	—	A	648,781	D
Common Stock^F3	Feb 19, 2015	C	501,405	—	A	1,150,186	D
Common Stock	Feb 19, 2015	C	241,270	$4.20	A	1,391,456	D
Common Stock	Feb 19, 2015	P	102,777	$6.00	A	1,494,233	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock^F1	—	Feb 19, 2015	C	11,801	D	—	—	Common Stock	11,801	0	D
Series C Preferred Stock^F2	—	Feb 19, 2015	C	17,363	D	—	—	Common Stock	17,363	0	D
Series D Preferred Stock^F3	—	Feb 19, 2015	C	140,685	D	—	—	Common Stock	140,685	0	D
Convertible Promissory Note	$4.20	Feb 19, 2015	P	—	A	Feb 19, 2015	Jun 6, 2015	Common Stock	241,270	—	D
Convertible Promissory Note	$4.20	Feb 19, 2015	C	—	D	Feb 19, 2015	Jun 6, 2015	Common Stock	241,270	0	D

F1Upon closing of the Issuer's initial public offering, each share of Series B Preferred Stock converted automatically into shares of Common Stock of the Issuer on a 10.94-for-one basis, and had no expiration date.
F2Upon closing of the Issuer's initial public offering, each share of Series C Preferred Stock converted automatically into shares of Common Stock of the Issuer on a 9.60-for-one basis, and had no expiration date.
F3Upon 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.

*Signed under power of attorney on behalf of Reporting Person