SEC Form 4 · accession 0001415889-15-000765

Cocrystal Pharma, Inc. · COCP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Mar 3, 2015

Accepted (ET)

Mar 5, 2015 · 4:51 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 Stock^F1,F2	Mar 3, 2015	M	5,496,654	—	A	5,496,654	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Convertible Preferred Stock^F1,F2	—	Mar 3, 2015	M	53,626,802	D	—	—	Common Stock	—	0	I

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.
F2The securities are owned directly by Hsu Gamma Investment, L.P., of which the reporting person is the general partner. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.