SEC Form 4 · accession 0001493152-18-006784

Cocrystal Pharma, Inc. · COCP

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

Reporting owner

Director · 10% Owner

Period of report

May 10, 2018

Accepted (ET)

May 14, 2018 · 4:01 pm EDT

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	May 10, 2018	M	263,158	$1.90	A	985,384	I	By LP
Common Stock^F1	May 10, 2018	A	10,209	$1.90	A	995,593	I	By LP
Common Stock^F1	holding	—	—		—	9,240,928	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
8% Convertible Note^F1,F4	$8.10	May 10, 2018	D	61,728	D	Nov 24, 2017	Nov 24, 2019	Common Stock	61,728	61,728	I
8% Convertible Note^F1,F4	$1.90	May 10, 2018	A	263,158	A	May 10, 2018	Nov 24, 2019	Common Stock	263,158	263,158	I
8% Convertible Note^F1	$1.90	May 10, 2018	M	263,158	D	May 10, 2018	Nov 24, 2019	Common Stock	263,158	263,158	I

F1The amount of securities beneficially owned and the conversion prices have been adjusted for the one-for-30 reverse stock split effective January 24, 2018.
F2The reporting person was issued common stock in connection with the conversion of a convertible note, as amended, at $1.90 per share. See Table II for a description of the convertible note.
F3The reporting person was issued common stock in lieu of accrued interest owed in connection with the convertible note described in Table II.
F4In accordance with Rule 16b-3, in advance of the effectuation of the transactions reported, the issuer's board of directors approved an amendment to the convertible note held by the reporting person who is a director and 10% beneficial owner of the issuer. The amendment of the outstanding convertible note is reported as a cancellation of the "old" note and the grant of a replacement note.