SEC Form 4 · accession 0001437749-18-016513
AIRXPANDERS INC · AXP.AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zita Peach
Director
Period of report
Aug 30, 2018
Accepted (ET)
Sep 4, 2018 · 1:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001387156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock AF1,F2 | Aug 30, 2018 | X | 26,042 | $0.16 | A | 53,820 | I | J PEACH SUPER FUND A/C, in which Zita Peach has a beneficial interest. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Rights Offering (right to buy) | $0.16 | Aug 30, 2018 | X | 26,042 | D | Aug 13, 2018 | Aug 22, 2018 | Common Stock A | 26,042 | 0 | I |
Explanation of responses
- F1Purchase of 78,125 Chess Depository Instruments (CDIs) held in J PEACH SUPER FUND A/C, in which Zita Peach has a beneficial interest. CDIs are units of beneficial ownership in our shares of Common Stock held by CHESS Depositary Nominees Pty Limited, or CDN, a wholly-owned subsidiary of ASX Limited, the company that operates the Australian Securities Exchange. The CDIs are convertible to Common Stock A on a 3-for-1 basis.
- F2Price per CDI of $0.075 and an AUS dollar to US dollar exchange rate of 0.727