SEC Form 4 · accession 0001437749-16-039322
SANUWAVE Health, Inc. · SNWV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Fritzen Nemelka
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
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par value | holding | — | — | — | 552 | D | ||
| Common Stock, $0.001 par valueF1 | holding | — | — | — | 0 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2 | $0.11 | Oct 1, 2015 | A | 150,795 | A | — | Oct 1, 2025 | Common Stock, $0.001 par value | 150,795 | 150,795 | D |
| OptionsF3 | $0.50 | Oct 1, 2015 | A | 99,205 | A | — | Oct 1, 2025 | Common Stock, $0.001 par value | 99,205 | 99,205 | D |
| OptionsF4 | $0.50 | Mar 31, 2016 | D | 99,205 | D | — | Oct 1, 2025 | Common Stock, $0.001 par value | 99,205 | 0 | D |
| OptionsF4 | $0.06 | Mar 31, 2016 | A | 99,205 | A | — | Oct 1, 2025 | Common Stock, $0.001 par value | 99,205 | 99,205 | D |
| OptionsF5 | $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
- F1John F. Nemelka is a Director of SANUWAVE Heath, Inc. and is also the Managing Principal of NightWatch Capital Management, LLC, which is the general partner of NightWatch Capital Partners II, L.P. ("NWCP II"). The shares of SANUWAVE Health, Inc. that were held by NWCP II were distributed to the partners on June 16, 2016.
- F2This option for 150,795 shares fully vested on October 1, 2015.
- F3This option for 99,205 shares fully vested on October 1, 2015.
- F4This 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.
- F5This option for 200,000 shares fully vested on June 16, 2016.