SEC Form 4 · accession 0001415889-18-000499
Niagen Bioscience, Inc. · NAGE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank L Jaksch Jr.
Officer — CEO · Director
Period of report
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 4:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001386570
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 29, 2018 | M | 474 | $4.50 | A | 202,031 | D | |
| Common StockF1 | Mar 29, 2018 | S | 474 | $4.60 | D | 201,557 | D | |
| Common Stock | holding | — | — | — | 2,075,052 | I | By Black Sheep, FLP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy) | $4.50 | Mar 29, 2018 | M | 474 | D | Apr 21, 2009 | Apr 21, 2018 | Common Stock | 474 | 171,503 | D |
Explanation of responses
- F1Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted on March 16, 2018. The options exercised and sold were scheduled to expire on April 21, 2018.