SEC Form 4 · accession 0001493152-18-013671
Cocrystal Pharma, Inc. · COCP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam Lee
Officer — President
Period of report
Sep 21, 2018
Accepted (ET)
Sep 24, 2018 · 4:52 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001412486
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F1,F2 | $2.78 | Sep 21, 2018 | A | 100,000 | A | — | Sep 20, 2028 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1The stock options vest as follows: 1/4 will vest on the one year anniversary of the grant date and the remaining 3/4 will vest in 12 equal quarterly increments.
- F2The stock options are intended to be incentive stock options within the meaning of Section 422 of the Internal Revenue Code. Only $100,000 (or 35,971 options) may first become exercisable by the Reporting Person in each calendar year.