SEC Form 4 · accession 0001415889-19-000308
Niagen Bioscience, Inc. · NAGE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank L Jaksch Jr.
Officer — EXECUTIVE CHAIRMAN OF BOARD · Director
Period of report
Mar 11, 2019
Accepted (ET)
Mar 12, 2019 · 8:50 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 | 33,334 | $1.50 | A | 234,891 | D | |
| Common StockF2,F1 | Mar 11, 2019 | S | 14,390 | $3.50 | D | 220,501 | 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) | $1.50 | Mar 11, 2019 | M | 33,334 | D | May 13, 2010 | May 13, 2019 | Common Stock | 33,334 | 0 | D |
Explanation of responses
- F1The shares were sold to cover the cost of the exercise of the options which were scheduled to expire on May 13, 2019.
- F2The weighted average sale price for the transaction reported was $3.50, and the range of prices were between $3.47 and $3.53. 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.