SEC Form 4 · accession 0001144204-16-087002
KIORA PHARMACEUTICALS INC · KPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barbara Wirostko
Officer — Chief Medical Officer
Period of report
Mar 7, 2016
Accepted (ET)
Mar 9, 2016 · 6:22 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 | Mar 7, 2016 | J | 139,942 | $0.00 | A | 139,942 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $3.80 | Mar 7, 2016 | A | 38,286 | A | — | Mar 7, 2026 | Common Stock | 38,286 | 38,286 | D |
Explanation of responses
- F1Received by the Reporting Person in connection with the acquisition by the issuer of all of the outstanding securities of Jade Therapeutics, Inc. ("Jade") in exchange for 500,000 shares of Jade common stock, 84,417 shares of Jade Series Seed Preferred Stock and 17,647 shares of Jade Series Seed-2 Preferred Stock.
- F2The Reporting Person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on March 7, 2017, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.