SEC Form 4 · accession 0001140361-15-001670
NANOVIRICIDES, INC. · NNVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anil Diwan
Officer — President · Director · 10% Owner
Period of report
Jan 12, 2015
Accepted (ET)
Jan 13, 2015 · 7:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001379006
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 12, 2015 | P | 3,000 | $2.62 | A | 2,061,918 | D | |
| Common StockF1 | Jan 12, 2015 | P | 3,000 | $2.63 | A | 2,064,918 | D | |
| Common StockF1 | Jan 13, 2015 | P | 5,000 | $2.60 | A | 2,069,918 | D | |
| Common StockF1 | Jan 13, 2015 | P | 5,000 | $2.75 | A | 2,074,918 | D | |
| Common StockF1 | Jan 12, 2015 | P | 7,392 | $2.71 | A | 2,082,310 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 285,714 shares of common stock issuable upon exercise of options held by Dr. Diwan that are currently exercisable. Does not include 16,531,429 shares owned by TheraCour Pharma, Inc. (after calculating the Preferred Series A convertible as converted), over which Dr. Diwan holds voting and dispositive power. Does not include 500,000 shares of the Company's Series A Convertible Preferred Stock (the "Series A") which votes at the rate of nine shares of Common Stock per each share of Series A and is convertible into three and one half shares of Common Stock upon a change in control of the Company or upon achieving certain trading prices of the Common Stock (the "Series A Preferred Stock").