SEC Form 4 · accession 0001437749-16-039320
SANUWAVE Health, Inc. · SNWV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan L Rubino
Director
Period of report
Oct 1, 2015
Accepted (ET)
Sep 30, 2016 · 2:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001417663
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $0.11 | Oct 1, 2015 | A | 150,795 | A | — | Oct 1, 2025 | Common Stock, $0.001 par value | 150,795 | 150,795 | D |
| OptionsF2 | $0.50 | Oct 1, 2015 | A | 99,205 | A | — | Oct 1, 2025 | Common Stock, $0.001 par value | 99,205 | 99,205 | D |
| OptionsF3 | $0.50 | Mar 31, 2016 | D | 99,205 | D | — | Oct 1, 2025 | Common Stock, $0.001 par value | 99,205 | 0 | D |
| OptionsF3 | $0.06 | Mar 31, 2016 | A | 99,205 | A | — | Oct 1, 2025 | Common Stock, $0.001 par value | 99,205 | 99,205 | D |
| OptionsF4 | $0.04 | Jun 16, 2016 | A | 200,000 | A | — | Jun 15, 2026 | Common Stock, $0.001 par value | 200,000 | 200,000 | D |
Explanation of responses
- F1This option for 150,795 shares fully vested on October 1, 2015.
- F2This option for 99,205 shares fully vested on October 1, 2015.
- F3This option for 99,205 shares had an adjustment to the exercise price from $0.50 to $0.06 per section 4 of the stock option agreement and SEC Registration File No. 333-208676
- F4This option for 200,000 shares fully vested on June 16, 2016.