SEC Form 3/A · accession 0001076542-16-000404
NEXEON MEDSYSTEMS INC · NXNN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
Mark C. Bates
Officer — CHIEF INNOVATION OFFICER · Director
Period of report
Sep 6, 2016
Accepted (ET)
Sep 26, 2016 · 2:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001416172
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | holding | — | — | — | 756,212 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WARRANTS TO PURCHASE COMMON STOCK | $2.00 | holding | — | — | — | Feb 16, 2015 | Feb 16, 2018 | COMMON STOCK | 370,000 | — | D |
| OPTIONS TO PURCHASE COMMON STOCKF1 | $1.00 | holding | — | — | — | — | — | COMMON STOCK | 252,000 | — | D |
Explanation of responses
- F1Dr. Bates was issued nonqualified options to purchase 252,000 shares of Nexeon's Common Stock on April 1, 2016. The options vest over 36 months in monthly increments of 7,000 shares, with a three-year term for each option beginning upon each date of vesting.