SEC Form 4 · accession 0001415889-15-000761
Cocrystal Pharma, Inc. · COCP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam Lee
Officer — PRESIDENT
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 4:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001412486
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 3, 2015 | M | 15,287,847 | — | A | 15,287,847 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF1 | — | Mar 3, 2015 | M | 74,545 | D | — | — | Common Stock | 15,287,847 | 0 | D |
Explanation of responses
- F1Each share of Series B Convertible Preferred Stock held by the reporting person was automatically convertible for no additional consideration into 205.08308640 shares of the issuer's common stock at such time as the issuer obtained sufficient authorized capital. The issuer filed a charter amendment increasing its authorized common stock with the Secretary of State of Delaware on March 3, 2015, which caused the automatic conversion of the Series B Convertible Preferred Stock into common stock. The Series B Convertible Preferred Stock had no expiration date.