SEC Form 4 · accession 0001415889-16-007483
INNOVUS PHARMACEUTICALS, INC. · INNV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vivian H Liu
Director
Period of report
Oct 1, 2016
Accepted (ET)
Nov 21, 2016 · 6:00 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411879
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Oct 1, 2016 | A | 11,538 | A | Oct 1, 2016 | Oct 1, 2026 | Common Stock | 11,538 | 607,604 | D |
| Restricted Stock UnitsF1,F4 | — | Nov 16, 2016 | A | 416,667 | A | Nov 16, 2016 | Nov 16, 2026 | Common Stock | 416,667 | 1,024,271 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
- F2The reporting person was granted a Restricted Stock unit on October 1, 2016 of 11,538 shares, which was fully vested on the date of grant.
- F3These restricted stock units were granted pursuant to the Issuer's 2016 Equity Incentive Plan.
- F4The Reporting Person was granted a Restricted Stock Unit on November 16, 2016 of 416,667 shares, which was fully vested on the date of the grant.