SEC Form 4 · accession 0001415889-19-000306
Niagen Bioscience, Inc. · NAGE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen A Block
Director
Period of report
Mar 11, 2019
Accepted (ET)
Mar 12, 2019 · 8:42 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 11, 2019 | M | 10,000 | $1.50 | A | 26,667 | D | |
| Common StockF2,F1 | Mar 11, 2019 | S | 10,000 | $3.52 | D | 16,667 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy) | $1.50 | Mar 11, 2019 | M | 10,000 | D | May 13, 2010 | May 13, 2019 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The options exercised and sold were scheduled to expire on May 13, 2019.
- F2The weighted average sale price for the transaction reported was $3.52, and the range of prices were between $3.50 and $3.56. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.