SEC Form 4 · accession 0001553350-17-001043
GelTech Solutions, Inc. · GLTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Lloyd Reger
Officer — President · Director · 10% Owner
Period of report
Sep 18, 2017
Accepted (ET)
Sep 20, 2017 · 4:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403676
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 18, 2017 | M | 5,707,095 | — | A | 29,469,161 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 7.5% Convertible NoteF1,F2 | — | Sep 18, 2017 | M | 1,997,483 | D | Feb 12, 2015 | Dec 31, 2020 | Common Stock | 5,707,095 | 0 | D |
Explanation of responses
- F1The issuance and disposition of the reported securities were approved in accordance with Rule 16b-3. The reporting person was issued the reported securities in connection with the conversion of a convertible note at $0.35 per share. See Table II for a description of the convertible note.
- F2The disposition of the convertible note was exempt from Section 16(b) under Rule 16b-6(b).