SEC Form 4 · accession 0001437749-18-019089
AIRXPANDERS INC · AXP.AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis P Grillo
Officer — President and CEO · Director
Period of report
Oct 26, 2018
Accepted (ET)
Oct 30, 2018 · 7:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001387156
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1 | $0.14 | Oct 26, 2018 | A | 2,857,140 | A | — | Oct 25, 2028 | Common Stock A | 2,857,140 | 2,857,140 | D |
| Non-qualified Stock option (right to buy)F1 | $0.14 | Oct 26, 2018 | A | 6,759,987 | A | — | Oct 25, 2028 | Common Stock A | 6,759,987 | 6,759,987 | D |
Explanation of responses
- F125% of the option shares shall vest one year after the date of hire. Thereafter, the remaining balance of the option shares shall vest in a series of 36 equal consecutive monthly installments until fully vested.