SEC Form 5 · accession 0001144204-15-015992
CORETEC GROUP INC. · CRTG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor F Keen
Officer — CEO and Director · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Mar 13, 2015 · 4:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001375195
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F2 | $0.01 | Jan 23, 2014 | A | 190,000 | A | Jan 24, 2015 | — | Common Stock | 19,000,000 | 265,000 | D |
| Warrants to Purchase Common StockF1 | $0.0055 | Jan 23, 2014 | A | 9,500,000 | A | Jan 24, 2015 | Jan 24, 2018 | Common Stock | 9,500,000 | 13,250,000 | D |
Explanation of responses
- F1Reporting Person purchased Units at $1.00 per Unit, including 190,000 shares of the Issuer's Series A Convertible Preferred Stock, which are convertible, after 1/24/2015, into 19,000,000 shares of the Issuer's Common Stock and warrants to purchase 9,750,000 shares of the Issuer's Common Stock at an exercise price of $0.0055 per share for a total purchase price of $190,000.
- F2None
Remarks
Although reported in the Issuer's Form 8-K filed on January 28, 2014, the filing of a Form 4 reporting the above transaction was inadvertently omitted.