SEC Form 5 · accession 0001185185-15-000343
Entia Biosciences, Inc. · ERGO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marvin S Hausman M.D.
Officer — Pres., CEO, Acting CFO · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 8:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001408299
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 24, 2014 | G | 30,000 | $0.30 | D | 4,157,200 | D | |
| Common Stock | Oct 24, 2014 | G | 8,000 | $0.30 | D | 4,157,200 | D | |
| Common Stock | Oct 24, 2014 | G | 1,200 | $0.30 | D | 4,157,200 | D | |
| Common Stock | Oct 25, 2014 | G | 1,200 | $0.30 | D | 4,157,200 | D | |
| Common Stock | Oct 24, 2014 | G | 1,200 | $0.30 | D | 4,157,200 | D | |
| Common Stock | Oct 25, 2014 | G | 1,000 | $0.30 | D | 4,157,200 | D | |
| Common Stock | Oct 25, 2014 | G | 1,000 | $0.30 | D | 4,157,200 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive stock optionF1 | $0.40 | Sep 29, 2014 | A | 175,000 | A | Nov 1, 2015 | Sep 29, 2021 | Common Stock | 175,000 | 175,000 | D |
Explanation of responses
- F1These stock options vest equally over a 7 month period.